FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA's New Exam Retake Rules Start Jan. 19
By Melanie WaddellNew rules shorten the wait times for retaking a failed qualification exam.
October 12, 2026
Sentencing Delayed for Ex-Morgan Stanley Advisor Who Defrauded NBA PlayersDarryl Cohen's lawyer says more time is needed to explore "certain sensitive issues."
October 06, 2026
Rep Recommended Unsuitable Annuity Exchanges: FINRAThe switches led to unnecessary charges and reduced death benefits, an order states.
October 02, 2026
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Outside Business Activities: What to Know Under FINRA's New RulesThe rules narrow BDs' oversight, but firms should flag certain gigs for review.
October 02, 2026
SEC Bars Ex-Cetera Advisor Accused of $2.4M Fraud Against Elderly ClientClarice Saw, previously affiliated with Citigroup and LPL, was subject to a civil judgment earlier this year.
October 01, 2026
Stifel Pays Another $30M Over Barred Broker's Structured Notes StrategyThe financial services firm has paid more in damages in disputes tied to Chuck Roberts' investment approach.
September 29, 2026
FINRA Bars Ex-LPL Rep for Taking $1.7M From ClientsRudy Anguiano transferred funds from two investors' accounts into his own company's bank account, an order states.
September 28, 2026
JPMorgan Loses Deli Platter FightA judge upheld a $4.25 million arb award to a broker the bank fired over Super Bowl party expenses.