Treasury Aggregate Statistics to Provide More Transparency in Marketplace WASHINGTON — FINRA today for the first time posted weekly, aggregate data on the trading volume of Treasury securities reported to TRACE®, FINRA’s Trade Reporting and Compliance Engine®.
WASHINGTON—FINRA announced today that it has ordered Stifel, Nicolaus & Company, Incorporated to pay approximately $1.9 million in restitution, plus interest, to more than 1,700 customers in connection with early rollovers of Unit Investment Trusts (UITs). FINRA also fined the firm $1.75 million for providing inaccurate information to customers related to rollover costs incurred, and […]
FINRA Releases Report Highlighting Helpline’s Efforts and Other FINRA Initiatives to Protect Seniors WASHINGTON — FINRA today released a new report illustrating the FINRA Securities Helpline for Seniors’ efforts to provide support, resources and education to senior investors over the last five years.
Recommend risky investments
Excessively trade your account
Fail to limit securities losses
Over-concentrate your portfolio
Recommend unsuitable investments
Make material misrepresentations
Excessively use margin
Earn huge commissions while you lost money
Sell you auction rate securities
Sell you a high risk private placement
Sell you highly leveraged ETF’s
Execute unauthorized trades
Sell you junk or church bonds