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Harry Cassin
Publisher and Editor

Andy Spalding
Senior Editor

Jessica Tillipman
Senior Editor

Bill Steinman
Senior Editor

Richard L. Cassin
Editor at Large

Elizabeth K. Spahn
Editor Emeritus

Cody Worthington
Contributing Editor

Julie DiMauro
Contributing Editor

Thomas Fox
Contributing Editor

Marc Alain Bohn
Contributing Editor

Bill Waite
Contributing Editor

Russell A. Stamets
Contributing Editor

Richard Bistrong
Contributing Editor

Eric Carlson
Contributing Editor

Posts Tagged: FINRA

FINRA warns public about fake . . . FINRA

The Financial Industry Regulatory Authority (FINRA) warned about con artists posing as FINRA to make phony investment pitches.

Scammers are using FINRA’s name and logo in letters that say FINRA is guaranteeing investments.Continue Reading

FINRA penalizes Citigroup $11 million for telling customers to buy when it meant sell

For nearly five years Citigroup Inc. sent retail customers the wrong research ratings on more than 1,800 stocks, causing many to buy and hold shares they never would have owned.

The Financial Industry Regulatory Authority or FINRA fined Citigroup $5.5 million and ordered it to pay at least $6 million in compensation to retail customers for the ratings errors.… Continue Reading

FINRA bars New York broker who cheated blind elderly widow

The Financial Industry Regulatory Authority barred a New York-based broker for churning the account of a blind elderly widow and recommending unsuitable investments.

Hank Mark Werner of Northport, New York was also ordered to pay more than $155,000 in restitution to the widow and penalized $80,000.… Continue Reading