FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA: Broker Lied to Native American Tribe About Nontraded REIT Commissions
By Melanie WaddellThe broker didn't tell the tribe he personally made $9.6 million in commissions for REIT and BDC recommendations, FINRA says.
January 11, 2016
FINRA's top exam priorities for 2016FINRA CEO Richard Ketchum says that one of the top goals for the year is managing brokers' conflicts of interest.
January 08, 2016
CFP Board Disciplinary Roundup: 2015In one action, the CFP Board suspended an advisor barred by FINRA for converting funds from a customers estate and trust.
January 05, 2016
FINRA’s Top Exam Priorities for 2016FINRA CEO Richard Ketchum tells ThinkAdvisor that one of the top priorities for the year is managing brokers' conflicts of interest.
January 04, 2016
Michael Oxley, Co-Author of Sarbanes-Oxley, DiesWhen ThinkAdvisor spoke with Oxley in 2011, he had not yet started lobbying Congress on the SRO issue.
December 30, 2015
Calls to FINRA Senior Helpline Uncover Emerging ScamsThe helpline has aided FINRA in identifying new scams, including tax fraud, bogus lottery winnings and binary options.
December 29, 2015
FINRA Fines Barclays Nearly $14M Over Mutual Fund FailuresBarclays Capital was charged with suitability violations, including 'switching' and breakpoint discount violations.
December 23, 2015
Merrill Paid $4M in Settlements Tied to Barred BrokerA 34-year industry veteran, Thomas Buck led a team including his two daughters, one of whom is also an Indianapolis Colts cheerleader.