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Tag Archives: FINRA

FINRA: Following the Crowd Investing and Social Media

FINRAretail investors Crowd Investing

With zero commissions on trades and online trading platforms at our fingertips wherever we go, many investors are making investing and saving part of their routine.

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New Research: Global Pandemic Brings Surge of New and Experienced Retail Investors Into the Stock Market

FINRAretail investors Crowd Investing

In a year when a pandemic gripped the world, beginning and experienced retail investors flocked to the stock market using taxable, non-retirement investment accounts, according to new research by the FINRA Investor Education Foundation (FINRA Foundation) and NORC at the University of Chicago.

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FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded

Worden Capital Management LLC excessive trading

FINRA announced that it sanctioned Worden Capital Management LLC (WCM) more than $1.5 million, including approximately $1.2 million in restitution to customers

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