Author: Admin
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 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…
Laurel Resident Wins First $50,000 Prize in MONOPOLY™ X20
Claims top prize on new scratch-off game A Prince George’s County scratch-off fan spotted the new MONOPOLY X20 instant ticket last week and decided to try his luck, since the game just went on sale on Jan. 17. The 64-year-old…
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…
Report from FINRA Board of Governors Meeting – December 2021
Board Approves Rule Proposals and FINRA’s 2022 Budget, Appoints SFAC and NAC Members WASHINGTON – FINRA’s Board of Governors met on Dec. 1-2 in New York. During the meeting, it approved two rule proposals and FINRA’s 2022 budget, appointed members…
National Portrait Gallery Announces Teen Portrait Competition Timed With Museum’s “The Outwin 2022: American Portraiture Today”
The Smithsonian’s National Portrait Gallery has announced its Teen Portrait Competition, which is open to students between the ages of 13 and 17 residing in the U.S and its territories. Teens are invited to submit original portraits in the medium…
The Week in Winners: Severn Mega Millions Ticket Makes a New Maryland Millionaire
Players across Maryland won more than $28.7 million during week ending Jan. 23 The Mega Millions jackpot is rolling, and one Maryland Lottery player in Severn won a $1 million second-tier prize in the national jackpot game last week. Meanwhile,…
Smithsonian To Host Virtual Symposium About Afrofuturism
The Smithsonian will host “Claiming Space: A Symposium on Black Futures—Past, Present, and Potential” Jan. 27–29. This free virtual symposium is a collaboration between the Smithsonian’s National Air and Space Museum, National Museum of African American History and Culture (NMAAHC)…
AG Ferguson files lawsuit against Google for secretly tracking consumers’ location
Google continued to track users even after they turned off location tracking settings OLYMPIA — Attorney General Bob Ferguson will file a lawsuit today against technology giant Google for deceptively leading consumers to believe that they have control over how…
Texas Resident Scoops up $100,000 Maryland Lottery Souvenir
Finds top prize win on Big Cash Riches instant ticket A scratch-off player from Garland, Texas found a great Maryland souvenir that will bring fond memories for years to come. She won a $100,000 top prize on the Big Cash…
Washington, D.C. Woman Wins $30,000 Playing FAST PLAY Ticket
Game’s quick pace attracts regular player to new ticket While the board game takes time to play, the quick pace of the FAST PLAY MONOPOLY Game Tokens ticket attracted a Washington, D.C. player to the $3 game. “I like the…
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….
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…
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…
St. Mary’s County College Student Beats Racetrax Odds, Wins $29,295.70
Winner Brooke Adkins of Mechanicsville and family friend Jeff Lee celebrate in the Lottery Winner’s Circle. Superfecta Box Bet delivers big prize A college student from St. Mary’s County who plays Racetrax occasionally beat the odds on a recent wager,…
State Police Motor Carrier Officers Join Forces to Fight Human Trafficking
During National Human Trafficking Awareness Month, Michigan State Police (MSP) motor carrier officers are teaming up with officers from neighboring states to raise awareness of human trafficking.
North Carolina Man Indicted for Tax Evasion
A federal indictment was unsealed today charging a North Carolina man with tax evasion and failing to file tax returns.
