Annual fines rose to $2 million from $1.6 million over the same period. In one of the most prominent cases last year, Finra fined Goldman Sachs $650,000 for failing to disclose that a trader, Fabrice P. Tourre, and another employee had received a Wells notice from the Securities and Exchange Commission, a warning that the agency was considering an enforcement action against them. Mr. Tourre was the only person named in the S.E.C.'s fraud case against Goldman Sachs last year. The agency accused the investment bank of misleading investors about a complex security tied to subprime mortgages.