FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Commonwealth Rep Lied About CE: FINRA
By Melanie WaddellFrancis Smith, now at Cambridge, was fined and suspended for having someone else complete his CE requirements.
July 23, 2025
Ex-Schwab Rep Hid Profit-Sharing Agreement With Client: FINRADaniel Michael Roper made more than 20,300 trades in exchange for a cut of the profits, the regulator says.
July 23, 2025
Advisor Fined for Impersonating Clients on CallsNo clients were harmed, Chad Rogers of Oklahoma told FINRA.
July 22, 2025
Former Broker Accused of Running $9.5M Ponzi SchemeThe former broker purportedly retired after a 2014 suspension but kept soliciting investments, fraudulently, prosecutors allege.
July 22, 2025
House Passes Accredited Investor Bill Calling for FINRA ExamThe bill would let individuals take an exam in order to qualify for private investment opportunities.
July 17, 2025
FINRA Bars Ex-Stifel Advisor Linked to $132M Arb AwardChuck A. Roberts, the subject of several client complaints, refused to appear for on-the-record testimony.
July 15, 2025
BD Fined $100,000 for Failing to Review Reps' Instant MessagesInvestment Placement Group didn't reasonably supervise use of an approved messaging platform, FINRA said.
July 14, 2025
Stifel Advisor Linked to $132M Arb Award Has Left the FirmArbitration awards and judgments involving Chuck Roberts exceed $166 million, his FINRA BrokerCheck record shows.