FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA’s Ketchum Warns on Dangers of Poor Firm Culture
By Melanie WaddellThe FINRA CEO also says increased BrokerCheck disclosure rules and new expungement rules could be coming in a month or two.
May 11, 2016
Senators raise concerns about advisor oversightFINRA says advisors who are dismissed from their jobs over misconduct allegations easily find fresh employment, and are likely to be repeat offenders.
May 11, 2016
Sen. Warren Tells FINRA Chief to Rein in Broker MisconductSen. Elizabeth Warren wants to know how FINRA is responding to a study finding 1 in 13 advisors have black marks on their BrokerCheck records.
May 03, 2016
MetLife faces record FINRA fine for misleading annuity customersThe insurer agreed to pay $25 million, the largest variable annuity penalty set by the Financial Industry Regulatory Authority.
May 03, 2016
MetLife fined millions for annuity salesFINRA has fined MetLife Securities, Inc. $25 million for wrongdoing related to some replacement variable annuity sales.
May 03, 2016
MetLife Securities to Pay $25M to FINRA Over ‘Negligent’ VA ReplacementsMetLife's misstatements led customers to replace their annuities with products that were more expensive or had fewer features, FINRA says.
May 02, 2016
MetLife faces record FINRA fine for misleading annuity customersThe insurer agreed to pay $25 million, the largest variable annuity penalty set by the Financial Industry Regulatory Authority.
May 02, 2016
FINRA Sends Market Manipulation Report CardsThe regulator also wants to add another member to its disciplinary tribunal, NAC.