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FINRA fines Citigroup in stock borrow programme

The Financial Industry Regulatory Authority has fined Citigroup $650,000 for violation of disclosure and supervisory norms involving a stock borrow programme.In its first enforcement action......

Wall Street to have new circuit breakers

The US market regulators have proposed new restrictions to rein in volatility of individual stocks, a move that comes after the Wall Street crashed due to severe volatility in the shares of certain......

Citigroup to pay $6,00,000 fine

Citigroup will have to pay $6,00,000 in fine to an US regulator for providing derivative transactions as that helped foreign clients avoid paying billions of dollars in taxes on dividends, a media......

How to find the right financial advisor

When many people think of the term "financial advisor", they picture a stressed out Wall Street type sitting behind a computer or telephone placing buy and sell orders and attempting to make their......

7 lessons to learn from a market downturn

You can never really understand investing until you weather a market downturn. The valuable lessons learned can help you through the bad times and can be applied to your portfolio when the economy......
  Web results for Finra
FINRA

Three major securities brokerages must collectively reimburse customers more than $30 million for failing to waive mutual fund sales charges for... ...

http://economictimes.indiatimes.com/news/international/business/wells-fargo-lpl-raymond-james-to-reimburse-30-million-in-fund-fees-finra/articleshow/47963786.cms
Larson Financial Group Named to 2015 Financial Times 300 Top Registered Investment Advisors

PRWeb 2015-07-06 Recognition Validates Larson Financial's Unique Approach to Financial Planning for Doctors St. Louis, MO (PRWEB) July 06,... ...

http://www.bizwireexpress.com/showstoryPRWeb.php?storyid=423585
Finra Orders Wells Fargo, Raymond James, LPL to Pay $30...

Lpl Financial Holdings Inc. (MM) (NASDAQ:LPLA) Intraday Stock Chart Today : Monday 6 July 2015 By Matthias Rieker Wall Street's... ...

http://in.advfn.com/news_Finra-Orders-Wells-Fargo-Raymond-James-LPL-to-Pay-30-Million-to-Clients_67593697.html
Billy Joel married a former Wall Streeter this weekend

Singer/songwriter Billy Joel married his former Wall Streeter girlfriend, Alexis Roderick, in a ceremony at his Long Island home on the Fourth of... ...

http://www.businessinsider.in/Billy-Joel-married-a-former-Wall-Streeter-this-weekend/articleshow/47960713.cms?utm_source=ten_minutes_with&utm_medium=Referral&utm_campaign=Content_Patnership
Cetera Financial Institutions To Provide Broker-Dealer Services to Valley National Bank

/PRNewswire/ --Cetera Financial Institutions, a firm within Cetera Financial GroupĀ®, the retail advice platform of RCS Capital Corporation (NYSE:... ...

http://in.advfn.com/p.php?pid=nmona&article=67589915

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