FINRA fined 12 member firms a total of $14.4 million for what the regulator deemed "significant ...
FINRA fined E*Trade Securities, LLC $900,000 and censured the firm for multiple violations related ...
FINRA suspended former Northwestern Mutual Investment Services, LLC (Newport Beach, California) ...
FINRA filed a disciplinary complaint against broker John Joseph Arnold, formerly of Merrill Lynch's ...
FINRA suspended Steven Robert Tomlinson and fined him $10,000 for allegedly downloading ...
