Tag: Goldman Sachs FINRA fine

June 18, 2014

3 Firms fined for providing inaccurate information about trades

The Financial Industry Regulatory Authority (FINRA) recently announced it has censured and fined Barclays Capital Inc.; Goldman, Sachs...

Blog, Securities Fraud Articles

January 4, 2013

FINRA fines 5 firms over reimbursement fees

FINRA recently announced that it has sanctioned five brokerage firms for unfairly obtaining the reimbursement of fees they paid to the...

Blog, Securities Fraud Articles

April 12, 2012

Goldman, Sachs & Co. Fined Over "Trading Hurdles

FINRA recently announced that it has fined Goldman, Sachs & Co. $22 million for failing to supervise equity research analyst...

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