News & Analysis as of

Financial Industry Regulatory Authority (FINRA) Fraud Alerts

Goodwin

FINRA, Nasdaq, and NYSE Warn Firms of Pump-and-Dump Schemes Following IPOs of Small-Cap Issuers

Goodwin on

FINRA, Nasdaq, and NYSE published separate notices to alert their members about recent observations related to initial public offerings (IPOs) for certain small capitalization (small-cap) issuers listed on US stock exchanges...more

Sheppard Mullin Richter & Hampton LLP

Nasdaq, FINRA and NYSE Issue Warnings of Small-Cap IPO Fraud

On November 17, 2022, each of Nasdaq, FINRA and NYSE released Regulatory Alerts highlighting concerns surrounding fraudulent activities in Small-Cap IPOs. Each of these alerts raises similar issues, highlights the importance...more

Mintz - Privacy & Cybersecurity Viewpoints

FINRA Again Reminds Firms to Beware of Fraud during COVID-19 Pandemic

As we previously discussed, FINRA issued guidance to member firms and their associated persons in April 2020 to remain “vigilant in their surveillance against cyber threats and take steps to reduce the risk of cyber events.”...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Stock Fraud Warning to Investors after Hurricane Dorian, New...

BROKER-DEALER - FINRA Warns Investors of Potential Stock Fraud in Wake of Hurricane Dorian - The Financial Industry Regulatory Authority (FINRA) recently released an investor alert cautioning investors of potential...more

Katten Muchin Rosenman LLP

FINRA Issues Investor Alert Regarding IRS Phone Scam

The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly coming from the Internal Revenue Service. Since 2013, more than 700,000 investors have...more

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