Tag: FINRA

FINRA Fines Wachovia $1.4 Million for Prospectus Delivery

The Financial Industry Regulatory Authority (FINRA) is pegging a $1.4 million fine on Wachovia Securities for its failure to deliver prospectuses and product descriptions to customers who purchased various investment products, and related supervisory failures, the agency said.

FINRA Unveils Tools to Spot Scams

The Financial Industry Regulatory Authority (FINRA) released two online tools designed to help investors spot and resist investment fraud, the agency said.