FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Issues Warning for Firms Outside the U.S.
By Melanie WaddellEven firms that operate abroad must respond to a FINRA request, the regulator says in a new notice.
September 22, 2025
Ex-Wells Fargo Broker Suspended, Fined Over $675K Customer BequestCarol Abdo-Brownsberger provided inaccurate information on her role as a foundation trustee, FINRA says.
September 17, 2025
Ex-Citi Rep Fined, Suspended Over Outside Business ActivityMaximiliano Ramirez was a member and 50% owner of an insurance agency while at Citigroup Global Markets, FINRA says.
September 15, 2025
FINRA Accuses Ex-Broker of Cheating on Securities ExamJoshua E. Scholnick flunked the test, the regulator says.
September 02, 2025
FINRA Fines, Suspends Ex-Rep Over Texting, Unauthorized TradesJoseph Warner Rozof made discretionary trades in clients' accounts and texted about transactions, according to FINRA.
August 26, 2025
Rep Violated Reg BI With Excessive Trades: FINRAJoseph Kelly of Spartan Capital Securities excessively effected transactions in the accounts of four retail customers, FINRA found.
August 25, 2025
U.S. Bancorp Unit Fined $500K, Censured Over Suspicious Activity ReportsThe firm incorrectly used the reporting threshold for banks rather than broker-dealers, FINRA reported.
August 15, 2025
Texting Still in Regulators' CrosshairsIf regulators find violative conduct related to off-channel communications, they will bring actions, Eversheds attorneys say.