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FINRA

They call it "financial exploitation of seniors" and refer to "World Elder Abuse Awareness Day" but cut through the froth and the Securities and Exchange Commission, The North American Securities Administrators' Association and the Financial Industry Regulatory Authority have started something useful at a time when the elderly are increasingly vulnerable to both actual frauds and misunderstandings caused by rapidly-changing financial environment.

BIScom Subsection: 

Notice issued by FINRA, the Financial Industry Regulatory Authority relating to pump and dump and other frauds.

Beware of Stock Fraud in the Wake of Hurricane Florence

It may not be possible to predict when the next natural disaster will take place. What you can count on is that when it happens, scammers will try to take advantage of the situation. The tips below will help you protect yourself at any time.

There are some things that beggar belief and if FINRA is right, then the conduct of Wells Fargo bank is a cause for major concern, not just for the bank but for all banks that do business with it.

It's a surprise to many to learn that the USA places restrictions on how much individuals are allowed to pledge in crowdfunding campaigns. The maximum is small and it's in total, not per project.

CoNet Section: 

The USA's Financial Industry Regulatory Authority (FINRA) has agreed with Deutsche Bank Securities Inc. that the bank will pay USD3.25 million. FINRA found that the company failed to make the same information available to all of the clients of its "Alternative Trading System," and other breaches of regulations.