Official announcements highlighting recent actions taken by the SEC and other newsworthy information. To view Press Releases prior to 2012, view the Press Release Archive.
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WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $2.5 million and ordered the firm to pay restitution of $1.25 million for failing to supervise Mark Hotton, a former Oppenheimer broker who stole money from his customers and excessively traded their brokerage accounts. FINRA permanently barred Mark Hotton from the securities industry in August 2013.
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) today announced the launch of a new, redesigned version of its website, www.finra.org. Key features of the site include a streamlined design, enhanced search and navigation, and a mobile-friendly platform providing a more simplified and user-friendly experience.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Brookville Capital Partners LLC, based in Uniondale, NY, to pay full restitution of more than $1 million to the victims and fined the firm $500,000 for fraud in connection with sales of a private placement offering. FINRA also barred Brookville President Anthony Lodati from the securities industry.
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