FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Cetera Fined $1.1M Over AML, Other Failures: FINRA
By Melanie WaddellCetera Advisors, Cetera Wealth Services and Cetera Investment Services were cited for supervisory compliance issues.
January 14, 2026
FINRA and SEC May Think More About Fixed Annuities This YearBut NAFA's chair hopes issuers can spend less time on regulatory threats and more on opportunities.
January 12, 2026
Ex-Advisor Ordered to Pay $37M in Restitution for Bank Loan SchemeJesse T. Hill of Nebraska already was sentenced to five years for conspiracy to commit fraud.
January 12, 2026
FINRA Plans to Beef Up Fraud RulesThe regulator is seeking feedback on ways to modernize its regulations as scams rise.
January 07, 2026
FINRA Hits BD With $20K Fine Over Form CRS FailuresVSI Securities failed to disclose its disciplinary history on the form over a five-year period.
January 06, 2026
Stifel's Bills Tied to Barred Broker Keep GrowingThe firm is on the hook for nearly $200 million, with more settlements coming, over Chuck Roberts' risky recommendations.
January 05, 2026
FINRA Fines, Suspends Ex-Osaic Rep Fired Over LoansRonald Ray Botello borrowed $173,000 from two senior clients without firm approval, the order states.
January 02, 2026
Ex-Merrill Broker Sentenced to Two Years in PrisonRajesh Markan was also ordered to pay $2.5 million to investors in a fake private equity fund.