FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Ex-Stifel Advisor Linked to $132M Arb Award
By Melanie WaddellChuck A. Roberts, the subject of several client complaints, refused to appear for on-the-record testimony.
July 10, 2025
Merrill Ordered to Pay Clients Nearly $3.7M Over PE Investments“This is the largest FINRA customer award against Merrill Lynch this decade," the clients' lawyer said.
July 09, 2025
Jefferies Advisor in Miami Barred by FINRAThe former wealth advisor refused to provide the regulator with information it had requested.
July 02, 2025
Remote FINRA Inspections Raise Misconduct Risk: PIABAFully remote supervision and inspections of home offices would undermine investor protection, the attorney group says.
July 01, 2025
Rep Fined, Suspended for Not Disclosing Outside Business ActivityThe rep was a trustee to the estate of a deceased Cambridge customer without prior notice, FINRA says.
July 01, 2025
Ex-LPL Advisor Suspended After Family Named as Client's BeneficiariesA client designated the advisor's wife as primary beneficiary on six LPL accounts, FINRA says.
June 26, 2025
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: ProsecutorsStanley Pophal is accused of luring at least 120 investors to buy promissory notes in a $15 million scheme.
June 26, 2025
FINRA Sanctions Clearing Firm Exec for Sending Thousands of WeChat MessagesBingshan Song of Velox Clearing was suspended and fined $25,000.