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Tagged with "fines"

FINRA Enforcement Numbers for 2019

Posted on March 9th, 2020 at 3:06 PM
FINRA Enforcement Numbers for 2019

In 2019, FINRA Enforcement ordered firms and associated persons to pay $70 million in fines, restitution and disgorgement.  Of the $70 million, $44 million was in the form of fines, including 9 fines of over $1 million.  These 9 “supersized” fines totaled $27.9 million.  Additionally, FINRA ordered roughly $24 million in restitution and $2 million in disgorgement in 2019.

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Six Brokerage Firms Fined for Failure to Give Discounts on Large REIT and BDC Sales

Posted on October 22nd, 2015 at 3:16 PM
Six Brokerage Firms Fined for Failure to Give Discounts on Large REIT and BDC Sales

FINRA has imposed fines of Voya Financial Advisors Inc., Transamerica Financial Advisors Inc. and four other independent broker-dealers. FINRA alleges that the firms failed to give clients discounts on large sales of nontraded real estate investment trusts and business development companies.

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