FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Rep for Using 'Internet-Enabled' Glasses to Cheat on Exam
By Melanie WaddellJacob Spencer used eyeglasses with electronic modifications to access Series 6 material online, an order states.
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.
August 17, 2026
FINRA Moves to Strengthen Fraud Rules for SeniorsThe BD regulator has sent three investor protection proposals to the SEC for approval.
August 12, 2026
LPL Advisor Must Pay UBS $5.6M Over Promissory Note BreachAn arbitration panel awarded the financial services firm amounts due under the notes, plus interest and attorneys' fees.
August 11, 2026
Ex-NY Life Rep Falsified Annuity Applications: FINRAQi Hua Yang was fined and suspended for providing false account numbers as funding sources, according to the regulator.
August 10, 2026
NASAA Shortens Waiting Period for IAR Test TakingAfter their third unsuccessful attempt at the Series 63, 65 or 66, candidates could retest within 60 days.
August 10, 2026
Stifel Forks Over $3.6M to Settle More Claims Tied to Barred BrokerTwo additional settlements were paid in July in the ongoing Chuck Roberts dispute.
August 04, 2026
Edward Jones Freezes $3M Account Under Senior Fraud RuleLarry Williams, 86, balked and moved money to Merrill Lynch, the Dallas Morning News reports.