FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Broker Barred for Concealing Commissions From Native American Tribe: Enforcement
By Emily ZulzMeanwhile, a firm principal was barred for falsely claiming the firm had enough assets to register with the SEC.
December 26, 2018
FINRA Hits Morgan Stanley With $10M Fine Over AML FailuresThe broker-dealer's anti-money laundering efforts did not meet Bank Secrecy Act requirements in three areas between 2011 and 2015.
December 21, 2018
FINRA Slams Ex-Morgan Stanley Broker Ami Forte Over Trades in Billionaire's AccountThe former star broker is accused of excessive trading; she accuses FINRA of "strong-arm and coercive tactics."
December 21, 2018
FINRA Issues Report on Best Cybersecurity PracticesThe group highlights five areas of focus, such as how to limit phishing attacks and how to implement controls on mobile devices.
December 18, 2018
Arizona BD Sues FINRA for 'Choking' Microcap MarketsFINRA wants to levy a $1.5 million fine against the firm in a microcap-related case.
December 17, 2018
Unpaid Arb Awards Decreasing but Still a ProblemUnpaid awards represent "about 2% of the nearly 13,000 customer cases closed between 2012 and 2016," said FINRA's Berry.
December 10, 2018
SEC Approves FINRA Arbitrator Honorarium ChangesFINRA will pay each arbitrator an honorarium of $200 to decide, without a hearing session, three types of cases.
December 10, 2018
Ron Carson Tells Why He's Dropping His FINRA LicenseIn an interview with ThinkAdvisor, Carson also says market volatility makes him "excited."