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Tag Archives: FINRA

Barclays, Goldman, Merrill fined $1 million each

The Financial Industry Regulatory Authority said Wednesday that it fined investment banks Barclays, Goldman Sachs and Merrill Lynch $1 million each for providing incomplete and inaccurate information about trades the companies conducted.

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Nasdaq sets aside $40M for Facebook investors

NEW YORK — The Nasdaq stock exchange said Wednesday that it plans to hand out $40 million in cash and credit to reimburse investment firms that got ensnared by technical problems with trading Facebook stock. FINRA, the financial industry’s self-regulatory ...

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Citigroup pays $725,000 fine for analyst conflict

WASHINGTON — An industry regulator fined Citigroup Inc. $725,000 for not disclosing conflicts of interest in the bank’s research division. The Financial Industry Regulatory Authority said Wednesday that Citigroup Global Markets failed to disclose the conflicts in reports that it ...

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Sean Somerville: Four tips to help combat ‘ticker terror’

For many investors, August probably brought on a couple of bouts of ticker terror — that horrible feeling that comes when every stock symbol on the screen is red. One indicator, the Dow Jones industrial average, plunged from 12,143.24 to ...

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