FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Rep for Cheating on SIE Exam
By Melanie WaddellThe rep looked at photos of study materials for the entry-level test on his phone, the regulator found.
March 13, 2026
Ex-Merrill Advisor Gets Annuity Complaint ExpungedThree FINRA arbitrators said the customers "often made spurious complaints and quickly withdrew or dropped them."
March 12, 2026
FINRA to Shorten Wait Times for Retaking ExamsThe regulator's board also approved a plan to provide parties with greater input into replacing arbitrators.
March 09, 2026
Ex-Morgan Stanley Rep Impeded Investigation: FINRAThe regulator was probing James Fredrick Tighe's firing over unauthorized transfers from a client account.
March 06, 2026
LPL, Advisor Team Must Pay $200K to Ameriprise: FINRAAmeriprise had accused a father-son team of taking confidential info as they left for LPL.
March 06, 2026
FINRA's Rulebook Revamp Takes a Beating at House HearingAn investor advocate accused the regulator of industry appeasement, while an industry lobbyist criticized the slowness of change.
March 05, 2026
FINRA to Publish Its Enforcement Manual — a FirstThe announcement by enforcement head Bill St. Louis was discussed during a House hearing Thursday.
March 05, 2026
Barred Advisor Charged With $3.3M Fraud Against LPL, Fidelity and TD AmeritradeA federal grand jury returned an 11-count indictment against Andrew Komarow.