FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Names 3 New Board Members
By Melanie WaddellTwo new public governors as well as a small firm governor named to FINRAs board.
August 29, 2016
Advisor Put Transit Workers on Risky Investment Path, FINRA SaysRetired bus workers lost some $140,000 due to "unsuitable" investments in energy firms and gold, says a FINRA complaint.
August 26, 2016
FINRA Enforcement: RBC Fined Over Arb AgreementIn another action, Oppenheimer & Co. was censured and fined for inaccurately reporting, or failing to report, short positions.
August 16, 2016
Ex-Stifel Broker Loses FINRA Case Over Unauthorized Farm LoanThe broker must pay his former BD after he borrowed money from a client to buy farmland without proper approval.
August 10, 2016
FINRA Floats Rule Changes on Gifts, Noncash CompThe proposed changes "make sense" as some of the current rules, especially on business entertainment, are "too subjective," Cipperman Compliance Services says.
August 08, 2016
Morgan Stanley to Pay Fired Rep $2.4M, Clear His RecordFINRA arbitration panel rules the wirehouse made "defamatory statements" to clients of a Florida advisor let go in 2014.
August 08, 2016
FINRA Fines Deutsche Bank $12.5M Over Use of ‘Hoots’Deutsche Bank Securities failed to supervise research- and trading-related info it disseminated to employees over its squawk boxes.
August 05, 2016
FINRA Sweeps Broker-Dealers for Info on Nontraded BDCsThe exam sweep covers all member firms and advisors selling the companies between January 2015 and June 2016.