FINRA News
- Joint Statement on Broker-Dealer Custody of Digital Asset Securities September 17, 2019WASHINGTON – Market participants have raised questions concerning the application of the federal securities laws and the rules of the Financial Industry Regulatory Authority (“FINRA”) to the potential intermediation—including custody—of digital asset securities1 and transactions.
- FINRA Fines J.P. Morgan Securities LLC, $1.1 Million for Failing to Timely Disclose 89 Allegations of Misconduct over a Six-Year Period September 17, 2019Prevented Numerous Regulatory Investigations; Prevented Other Member Firms and Public from Learning About Allegations Including Misappropriation of Funds WASHINGTON—FINRA today announced it has censured and fined J.P. Morgan Securities LLC (JPMS) $1.1 million for failing to timely disclose 89 internal reviews or allegations of misconduct by its registered representatives and associated persons spanning a six-year […]
- FINRA EVP of Office of Fraud Detection and Market Intelligence Cameron Funkhouser Announces Retirement September 17, 2019WASHINGTON — FINRA today announced the retirement of Executive Vice President Cam Funkhouser after more than 35 years of service at the organization. Funkhouser has led FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI) – including the Insider Trading and Fraud Surveillance units, FINRA's Complaint Center and FINRA's Whistleblower program – since its creation […]
Leave a Reply
Want to join the discussion?Feel free to contribute!