FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Hits Cantor With $7.3M Sanction Over Microcap Sales
By Janet LevauxThe regulator also suspends and fines both an executive and a trader for their behavior.
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
November 06, 2015
MetLife says Finra staff recommends ‘significant fine’ of brokerThe probe focuses on potential violations regarding alleged misrepresentations, suitability, and supervision in connection with sales and replacements of variable annuities and certain riders on such annuities.
November 06, 2015
MetLife says Finra staff recommends ‘significant fine’ of brokerThe probe focuses on potential violations regarding alleged misrepresentations, suitability, and supervision in connection with sales and replacements of variable annuities and certain riders on such annuities.
November 03, 2015
FINRA’s CARDS Plan Dead on Table: AxelrodWere going to continue to use data to help inform our exams, FINRAs Susan Axelrod said.