Reg BI Cases Keep Increasing
By Melanie WaddellFINRA brought more actions in 2025 than in previous years, an exec details at its annual conference.
April 08, 2026
Rep Violated Reg BI With Structured Note Sales to Retirees: FINRANeither client of Frederick Hohensee had prior experience with the complex investment products, an order states.
March 18, 2026
FINRA's Top 5 Fine Categories in 2025Total fines increased in 2025 while the number of cases fell, Eversheds Sutherland's analysis finds.
January 30, 2026
FINRA Hits Another BD With Reg BI, Form CRS FineGMS Group fell short on written supervisory procedures, according to the regulator.
January 26, 2026
Ex-Stifel Rep Steered Older Clients to Costly Brokerage Trades: FINRAJonathan Webster placed trades in commission-based accounts rather than less expensive fee-based ones, a suspension order states.
January 23, 2026
FINRA Dings a BD for Lacking Leveraged ETF PoliciesStirlingshire Investments violated Reg BI when it failed to supervise reps' recommendations of the risky products, FINRA found.
January 07, 2026
FINRA Hits BD With $20K Fine Over Form CRS FailuresVSI Securities failed to disclose its disciplinary history on the form over a five-year period.
December 04, 2025
Draft Guidelines Could Shape States' Efforts to Regulate Annuity SellersA regulator group will review the "best interest" guidance at a meeting next week.