Recent Posts
Report from FINRA Board of Governors Meeting – September 2021
Board Approves New Maintaining Qualifications Fee; Reaffirms FINRA’s Financial Guiding Principles WASHINGTON – FINRA’s Board of Governors met on Sept. 23-24 and approved a proposal to establish a modest fee for individuals who choose to complete continuing education (CE) to…
FINRA Names Sarah Gill as Ombudsman, Cindy Foster as VP of MAP Program
FINRA today announced the appointment of Sarah Gill as Ombudsman and Cindy Foster as Vice President of the Membership Application Program (MAP) and Statutory Disqualification. As the new Ombudsman effective Oct. 4, Gill will handle issues, inquiries and complaints…
New Research Examines Why Some Consumers are More Vulnerable to Financial Scams
WASHINGTON—New findings from a two-year study bring researchers closer to understanding why some people are more likely to lose money to financial fraud. The FINRA Investor Education Foundation (FINRA Foundation), Better Business Bureau (BBB) Institute for Marketplace Trust, and the…
FINRA, NASAA and SEC OIEA Urge Investors to Establish a Trusted Contact to Increase Investor Protection
WASHINGTON—In a combined effort to provide additional protection for investors, FINRA and the North American Securities Administrators Association (NASAA) today announced a new campaign urging investors to provide their financial firms with a trusted contact. The U.S. Securities and Exchange…
FINRA Appoints Bill St. Louis Executive Vice President of National Cause and Financial Crimes Detection Program
WASHINGTON—FINRA announced today that it has appointed Bill St. Louis to Executive Vice President and Head of its National Cause and Financial Crimes Detection Program (NCFC). St. Louis, currently Senior Vice President and Firm Group Leader in FINRA’s Member Supervision…
FINRA Orders Aegis Capital Corp. to Pay $1.7 Million in Restitution to Customers Whose Accounts Were Excessively and Unsuitably Traded; Two Supervisors Fined, Suspended for Failing to Respond to Red Flags; Representatives Sanctioned
Firm Also Fined $1.1 Million for Supervisory Failures WASHINGTON—FINRA announced today that it sanctioned Aegis Capital Corp. approximately $2.8 million, including $1.7 million in restitution to 68 customers whose accounts were potentially excessively and unsuitably traded by the firm’s representatives….
New Research: Racial And Ethnic Disparities Persist Among American Households Who Own Taxable Investments
Small, But Encouraging Gains Apparent Among Some Groups WASHINGTON—African Americans and Hispanics/Latinos continue to be underrepresented among investor households in America, despite modest gains by African Americans in recent years, according to new research released by the FINRA Investor Education…
FINRA Foundation Awards 2021 Ketchum Prize to Shawn Spruce
Champion of Financial and Investor Education in Native Communities Receives Highest Honor WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) today awarded Shawn Spruce the 2021 Ketchum Prize—its highest honor—in recognition of his outstanding advocacy, teaching and outreach as a champion…
A public hearing to consider the possible commutation of sentence for Avantis Parker, #866383
The Michigan Parole Board will hold a public hearing on Tuesday, January 18, 2022 at 11:00 a.m. to consider the possible commutation of sentence for Avantis Parker, #866383.
A public hearing to consider the possible commutation of sentence for Rudi Gammo, #312403
The Michigan Parole Board will hold a public hearing on Tuesday, January 18, 2022 at 9:00 a.m. to consider the possible commutation of sentence for Rudi Gammo, #312403.
NASA Sets Coverage, Invites Public to View Webb Telescope Launch
NASA will provide coverage of prelaunch, launch, and postlaunch activities for the James Webb Space Telescope, the world’s largest and most powerful space science telescope.
Department Press Briefing – December 17, 2021
Jalina Porter, Principal Deputy Spokesperson Washington, D.C. 2:02 p.m. EST MS PORTER: Good afternoon, and happy Friday, everyone. Thank you so much for joining today’s press briefing. I have a couple of rounds of updates at the top, and then…
NASA Awards Marshall Engineering Support Contract
NASA has awarded the Marshall Engineering Technicians and Trades Support (METTS) III contract to RSi-QuantiTech JV LLC of Huntsville, Alabama, to provide a wide range of engineering technicians and trade skills, as well as professional and management oversight of the…
Study of Musky Warm-Water Mortality Concluded
Warm water angling is a contentious topic among devout muskellunge anglers, with many anglers deciding to stop fishing when water temperatures exceed 80°F because catching fish in elevated temperatures is believed to lead to high mortality. Until this point, there…
EMA Management Board: highlights of December 2021 meeting, MB, 17/12/2021
COVID-19 updateThe Management Board heard an update from EMA on its COVID-19 activities. Boosters have become a very important tool in the response to…
Electric Company Employee Shocked by $50,000 Powerball Win
Port Republic man using prize toward home purchase He plays Lottery games every once in a while, an electrical lineman from Calvert County told Lottery officials. While he never has a particular game in mind, the Port Republic resident favors…
Luck Lines Up to Give ‘Mr. Bingo’ $50,000 Scratch-off Prize
Washington, D.C resident pockets top-prize payout on Gold Bar Bingo game This week, a District of Columbia resident with a penchant for bingo scratch-offs saw the numbers align for a top-prize win. The 72-year-old, calling himself “Mr. Bingo,” matched a…
Self-Published Author Flips the Script with Lottery Win
Takoma Park man claims $20,000 top prize on Ravens X2 scratch-off “I felt it!” A Prince George’s County writer’s premonition that his lucky Lottery payday was on the way came true when he won a $20,000 top prize on a…
Italia: Dalla BEI 50 milioni per la transizione ecologica delle scuole e il piano urbanistico sostenibile di Bologna
La Banca europea per gli investimenti (BEI) sostiene il Comune di Bologna e i suoi cittadini con un investimento quadro di 50 milioni di euro a supporto del Programma di Investimento della città per il triennio 2021-2023.
