FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Enforcement: CEO Used Company Money to Buy His Relatives’ Artwork
By Marlene Y. SatterIn another action, FINRA fined Ameriprise for failing to send account records to some customers.
March 02, 2016
If Broker Arbitration Is Good for Investors, Why Is It Mandatory?FINRA and its member broker-dealers inherently have a massive PR problemone that isnt going to go away with some lipstick and a bit of makeup.
February 26, 2016
Enforcement: FINRA Bars Broker for Market ManipulationMeanwhile, SEC, DOJ and Dutch authorities ordered telecom provider VimpelCom to pay more than $795 million over allegations it bribed an Uzbek official.
February 26, 2016
Beyond Mandatory Arb: 4 Options for Advisor-Client Dispute ResolutionWhen crafting investment advisory contracts, consider other dispute resolution mechanisms that may be a more attractive dispute alternative for firms and their clients.
February 26, 2016
FINRA’s 5 Biggest Fine Categories in 2015Suitability cases "came back in a big way" in 2015, the law firm Sutherland Asbill & Brennan reported.
February 23, 2016
Broker Arb Lessons From Animal House and Brian HamburgerA reader questions my objectivity on broker-dealers and FINRA arbitration. I respond, then get Brian Hamburger to weigh in.
February 18, 2016
FINRA to Examine BDs for Conflicts of InterestWith compliance costing the industry $300 billion since 2010, the self-regulator wants BDs to answer questions on "cultural values" in a targeted exam.
February 11, 2016
FINRA Bars 2 Brokers in Hedge Fund FraudBrokers told investors the fund was a "growth" fund with risk controls when in reality it was a "highly speculative investment," FINRA says.