FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Call for FINRA to Update Document-Request Rules Draws Scrutiny
By Melanie WaddellThe Rule 8210-related changes, part of a larger report, would make it easier for firms to block enforcement, PIABA's president argues.
June 26, 2026
FINRA Bars Ex-Ameriprise Advisor Accused of Taking $3.5M From ClientSung Moo Cho, most recently a Citigroup rep, refused to cooperate with a FINRA probe.
June 24, 2026
FINRA Ousts Morgan Stanley Broker Fired for Allowing Third-Party Access to Client's AccountJames Fredrick Tighe refused to testify about the allegations, FINRA says.
June 22, 2026
JPMorgan Fights $4M FINRA Award to Rep Fired Over Super Bowl PartyThe bank argued it "had ample reason to terminate" Brent Ryan Bodner for misrepresenting the nature of an expense.
June 22, 2026
Ex-Broker Pleads Guilty to Robbing Bank With Fake BombScott Charles Tunis reportedly had been experiencing financial stress and self-medicating with alcohol.
June 22, 2026
Stifel Pays $3M to Settle Claim Over Barred Broker's Structured Notes StrategyAfter a $133 million award in April, the firm faces up to 19 additional complaints tied to Chuck Roberts.
June 17, 2026
FINRA Expels BD Over Reg BI ViolationsThe regulator has also barred Reid & Rudiger's co-founders for excessively trading 20 accounts.
June 16, 2026
FINRA Fines Advisor Over Undisclosed Tax Consultancy Referral FeesShuai Wang failed to timely and accurately inform Cambridge Investment Research about the fees, an order states.