FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Advisor Who Left for Raymond James Breached Contract, TD Alleges
By Dinah Wisenberg BrinAbout 30 clients with $48 million in assets left after Adam Bracy's departure, the bank says.
April 08, 2025
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From WidowJohn Winslow is accused of taking over $920,000 from a client and trading gold coins to conceal it.
April 02, 2025
Ex-Morgan Stanley Advisor Sentenced to 12 Years in Fraud SchemeJesus Rodriguez of El Paso, Texas, spent clients' money on himself, including a Lamborghini purchase, authorities found.
April 01, 2025
BD to Pay $150K Over Reg BI, Form CRS FailuresThurston Springer's written policies discussed Reg BI in general terms and did not include procedures for delivering Form CRS.
March 31, 2025
FINRA Bars Ex-LPL Rep Over Texting, Outside Business ActivityDerek Lee Copeland participated in private securities transactions and exchanged over 2,250 business-related communications, FINRA found.
March 28, 2025
'Naming and Shaming' Discourages Advisor Misconduct: StudyNew research found that firms with high misconduct rates cleaned up their acts after their names were published.
March 27, 2025
FINRA Orders Firm Expelled After Chief Justice Denies Emergency ClaimThe expulsion of Alpine Securities, which is challenging FINRA's constitutionality, won't take effect unless the SEC upholds it.
March 25, 2025
Barred Broker Charged in Alleged $1.24M Ponzi SchemeMarat Likhtenstein, who was fired from Osaic in 2024, now faces grand larceny charges.