Fines doled out by the Financial Industry Regulatory Authority jumped 60% to $91 million from $57 million in 2020, although the bulk of the increase came from a single case, according to a report by ...

Fines reported by the Financial Industry Regulatory Authority in 2021 increased to $91 million from $57 million in 2020, a 60% increase, according to just-released data from the law firm Eversheds ...

Is FINRA showing its teeth? Look closely. Last year, the Financial Industry Regulatory Authority, the self regulator of the brokerage industry, levied significantly more fines on wayward brokerages ...

The fines reported by FINRA in 2022 decreased to $45 million from $103 million in 2021, a 56% decrease. However, the fines in 2021 included a single, record-setting $57 million fine against one firm.

Fines for corporate crimes last year fell by more than half to 8.7 billion euros (U.S. $9.9 billion) from 2020’s total of €20 billion (U.S. $22.6 billion), according to a report released by research ...

Q: What happens is I refuse to pay a fine for violating the association’s governing documents? (R.N., via e-mail) A: A duly levied fine is due after a board appointed fining committee confirms, at a ...

No public records exist that track who has violated the STOCK Act or receives a fine. Dozens of members and at least 182 staffers have been tardy, but there's no consistent penalty system. Former ...

A Texas company and two subsidiaries have agreed to plead guilty to violating the federal Clean Water Act for the 2021 oil spill off of Huntington Beach’s coast and pay nearly $13 million in fines and ...