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E*TRADE Loses ARS Arbitration Ruling; ETFCD, SCHW, AMTD

Tags: E*TRADE Fines FINRA

On Schwab's YieldPlus Settlement: Well Played, Sir; SCHW, AMTD

Tags: Schwab Regulation Legal Fines

Scottrade Fined $200k by FINRA for Violating Day-Trading Rules

Tags: Scottrade Fines FINRA

TD Ameritrade Repurchases $304mm in ARS in Settlement; ATMD, SCHW

Tags: TD Ameritrade Fines SEC

"Soft Dollar" Payments Live On, Terra Nova Fined $400k by FINRA

Tags: Fines FINRA

Value Line Fined $44 Million by SEC, CEO Resigns; VALU, MHP, MORN

Tags: Mutual Funds Legal Executives Fines SEC

Scottrade Fined by FINRA for Lax Supervision of Suspicious Transactions; BAC, ETFC

Tags: E*TRADE Scottrade Bank of America Regulation Fines FINRA

Case of 6 Million Stolen E-Mail Addresses At TD Ameritrade Nears Settlement; AMTD

Tags: TD Ameritrade Data Legal Fines

PENALTY! FINRA Fines Three More Firms on Auction Rates Securities; FITB, AMTD, SCHW

Tags: TD Ameritrade Schwab Fines FINRA

ARS Not Our Fault, Says Schwab; Blame The Underwriters; SCHW, UBS, C, GS

Tags: TD Ameritrade Schwab Legal Fines SEC

PENALTY! SEC Slaps Bank of America Over Merrill Bonus Payouts; BAC

Tags: Bank of America Merrill Lynch Fines SEC TARP

The Other ARS Holdout? Raymond James (RJF)

Tags: Raymond James Regulation Executives Fines

FINRA Arbitration Claims Up 56% in 2009

Tags: Regulation Legal Fines FINRA

PENALTY! Interbank FX Fined by NFA For Multiple Volations

Tags: InterbankFX Regulation Fines NFA

Schwab Nailed Again for Its YieldPlus Fund Mistake

Tags: Bonds Mutual Funds Schwab Legal Fines FINRA

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