FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Ex-Northwestern Mutual Rep for Taking Loan From a Client
By Melanie WaddellDaniel Schmid violated firm policies by borrowing $25,000 from a customer for a business venture, an order states.
August 25, 2026
FINRA Suspends Rep for Excessive Trading in Retiree's AccountGary Talbot of Spartan Capital recommended a series of transactions that violated Regulation Best Interest, an order states.
August 21, 2026
With 261 Designations and Counting, How Many Are Worth It?FINRA maintains a list of the certification programs but does not regulate the entries.
August 21, 2026
PRO
AI Rules for Advisors Aren't Here Yet. The Compliance Risks Are.Advisors should expect regulators to scrutinize their AI use under existing rules.
August 19, 2026
FINRA Bars Rep for Using 'Internet-Enabled' Glasses to Cheat on ExamJacob Spencer used eyeglasses with electronic modifications to access Series 6 material online, an order states.
August 19, 2026
Ex-Fifth Third Securities Rep Let Employees Complete His CE Requirements: FINRATwo junior staffers handled about 20 courses for Robert Kyle Averwater by logging onto his computer, an order states.
August 19, 2026
Raymond James Hit With $125K Fine Over Fractional SharesThe firm failed to report approximately 2.56 million fractional share liquidations, according to FINRA.
August 18, 2026
FINRA Suspends Rep for Forging Client Initials, SignatureMark J. Hudec initialed brokerage account opening forms and signed an advisory account form, an order states.