FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Calls to FINRA Senior Helpline Uncover Emerging Scams
By Melanie WaddellThe helpline has aided FINRA in identifying new scams, including tax fraud, bogus lottery winnings and binary options.
December 21, 2015
FINRA Hits Cantor With $7.3M Sanction Over Microcap SalesThe regulator also suspends and fines both an executive and a trader for their behavior.
December 18, 2015
FINRA Fines Fidelity Over Fake Broker Who Scammed SeniorsFidelity failed to stop a woman posing as a Fidelity broker from stealing more than $1 million from nine customers, FINRA says.
December 16, 2015
FINRA Broker Arbitration Task Force Suggests 51 ChangesThe panel's biggest conclusion: Arbitrators should be paid more.
December 11, 2015
SEC, FINRA Enforcement: Lawyers Acted as Brokers in Immigration ScamMeanwhile, FINRA slapped UBS for misrepresenting more than $1 million in muni bond interest paid to clients as tax-exempt.
December 01, 2015
SEC Agrees to FINRA’s BrokerCheck Change on Posting FiringsStarting Dec. 12, the 15-day delay in the release of disclosure information filed on Form U5 will be reduced to three business days.
November 24, 2015
Ex-Morgan Advisor, in Unusual Move, Takes FINRA Arb Case to Federal CourtFew advisors appeal a FINRA promissory-note ruling because the odds of winning are slim; however, Laurie Facsinas case is different from most.
November 16, 2015
Scottrade to Pay $2.6M FINRA Fine Over Email Retention FailuresScottrade failed to adhere to federal securities and FINRA rules under the 'Write-Once, Read-Many' or WORM format