FINRA

Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.

Litigation

SEC Says Advisor Defrauded Clients on Fees

By Dinah Wisenberg Brin
FINRA Panel Orders Advisor to Pay Ameriprise $383K

June 05, 2025

FINRA Panel Orders Advisor to Pay Ameriprise $383K
Supreme Court Rebuffs Challenge to FINRA's Authority

June 02, 2025

Supreme Court Rebuffs Challenge to FINRA's Authority
BD Hit With Reg BI Fine Over Annuity Exchanges

May 29, 2025

BD Hit With Reg BI Fine Over Annuity Exchanges
Ex-Osaic Advisor Who Accepted $1M Bequest From Client Faces Fine, Suspension

May 22, 2025

Ex-Osaic Advisor Who Accepted $1M Bequest From Client Faces Fine, Suspension
5 Years In, Reg BI Is Still Unclear to BDs

May 19, 2025

5 Years In, Reg BI Is Still Unclear to BDs
LPL Drops Suit Over Ameriprise's 'Defamatory' Data Breach Notices

May 15, 2025

LPL Drops Suit Over Ameriprise's 'Defamatory' Data Breach Notices
FINRA to Raise $100 Gift Limit

May 15, 2025

FINRA to Raise $100 Gift Limit