Author: Admin

WASHINGTON – FINRA announced today that a FINRA extended hearing panel has expelled Salt Lake City-based broker-dealer Alpine Securities Corp. from FINRA membership, and ordered the firm to pay more than $2.3 million in restitution to customers for converting and…

Outreach Follows Recent Efforts to Expand Opportunities for Participation WASHINGTON – FINRA today issued Special Notice 3/31/22 to encourage securities industry professionals and non-industry stakeholders from diverse backgrounds to become involved in FINRA’s advisory committees.

SPACs, Margin Debt and CAT Among New Data Categories WASHINGTON – FINRA today published the 2022 FINRA Industry Snapshot, the annual statistical report on the brokerage firms, registered representatives and market activity that FINRA oversees. This year’s edition adds new…

Board Approves Rulemaking Items and Annual Financial Report; Appoints New Members to Advisory Committees WASHINGTON—FINRA’s Board of Governors held its second meeting of the year on May 11-12 in Fort Lauderdale, FL—near the organization’s Boca Raton office, the home of…

WASHINGTON—FINRA announced today that it has fined two FINRA-registered funding portals a combined $1.75 million for failing to comply with securities laws and rules designed to protect crowdfunding investors.

WASHINGTON—FINRA announced today that it has appointed Michael Solomon as Senior Vice President of Examinations. Solomon will assume this role on June 6 and report to Greg Ruppert, Executive Vice President and Head of Member Supervision. Solomon will be responsible…

WASHINGTON— FINRA announced today that it has ordered Merrill Lynch, Pierce, Fenner & Smith, Inc. to pay more than $15.2 million in restitution and interest to thousands of customers who purchased Class C mutual fund shares when Class A shares…

Board Approves Rulemaking Items and Use of 2021 Fine Monies; Meets With SEC Chair Gary Gensler

January 03, 2018 – Last evening, “Fugitive of the Week,” Nicholas LaPanne was arrested by our task force partners from the Strafford County Sheriff’s Office. This arrest was possible after information was developed by officers from the Strafford Police Department,…

January 09, 2018 – The U.S. Marshals are asking for the public’s help in finding an escaped prisoner from a Connecticut Correctional Facility on January 7, 2018. Jerry Mercado escaped from the Carl Robinson Correctional Facility in Enfield, CT on…

January 04, 2018 – The U.S. Marshals fugitive task force today arrested a man wanted in Shelby county for first degree murder, convicted felon in possession of a handgun, and criminal impersonation.

SEATTLE — Attorney General Bob Ferguson offered the following statement regarding the U.S. Supreme Court decision overturning Roe v. Wade:

New research published recently in the journal Conservation Science and Practice shows conservation work led by Smithsonian researchers brings tangible benefits to local communities, government agencies and the private sector as well as the environment in the United States and…

In response to the U.S. Supreme Court’s opinion in Dobbs v. Jackson Women’s Health Organization, Acting Attorney General Joshua Diamond today issued the following statement reaffirming the Office’s commitment to supporting and expanding access to abortion care: “Despite the U.S….

Governor Parson Signs Proclamation to End Elective Abortions in Missouri in Response to U.S. Supreme Court Decision johnathan.shiflett Fri, 06/24/2022 – 10:17 June 24, 2022 Jefferson City Today, in response to the United States Supreme Court’s ruling overturning Roe v….

I want to thank Eric and Bates White for the invitation to speak with you tonight. The last time I saw Eric in person was shortly before the pandemic at his wedding. I know several of the economists in the…

The Smithsonian’s National Museum of Natural History will open “Our Places: Connecting People and Nature” Friday, July 1, a new exhibition exploring how peoples’ experiences with nature inspire them to connect, care and act. “Our Places” offers visitors a chance…

Task force brings law enforcement, prosecutors, retailers together to combat growing problem SEATTLE — Attorney General Bob Ferguson announced today the creation of a statewide Organized Retail Crime Theft Task Force. The Task Force will improve coordination and collaboration among…

City management and the Manhattan Parks and Recreation Department are evaluating the ability to offer modified programming this fall for youth sports and other activities, due to limited staffing for scorekeepers, referees, and facility supervisors.

Claims $30,734 prize on 20-draw Trifecta bet A Howard County man found himself in the Lottery Winner’s Circle this week after placing a lucky Racetrax Trifecta bet on 20 races. The Columbia resident just claimed a $30,734 prize. The 24-year-old…