FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Names Berry Head of Arbitration
By Melanie WaddellFINRA announced Thursday that Richard W. Berry will replace Linda Fienberg as head of the self-regulators dispute resolution.
October 14, 2014
The Bizarre Recruiting Case of Alfonso MontoyaA $150 million book of business Wells Fargo promised him never materialized and then the wirehouse took him to arbitration.
October 07, 2014
FINRA Arb Panels Lack Diversity, Transparency: PIABA Study"Diverse groups of people make better decisions," the investor lawyers' group says.
October 07, 2014
FINRA’s Senior VP of Enforcement Moves to Shulman RogersEmily Gordy, FINRAs senior VP of enforcement, has joined Shulman Rogers as chairwoman of the firms Financial Industry Regulatory Group.
September 30, 2014
FINRA Releases New Version of Controversial CARDS PlanFINRA is "committed" to CARDS and plans to move ahead with further changes to BrokerCheck, said Susan Axelrod at the FSI Advisor Summit.
September 22, 2014
FINRA’s Big-Brokerage Loyalty Revealed in New Bonus Plan: LawyerThe proposal, which curtails mandatory disclosures, should "leave no doubt" where FINRAs loyalties lie, lawyer Patrick Burns says; recruiter Jon Henschen argues disclosure is pointless.
September 12, 2014
FINRA Mulls Revised Broker Bonus PlanFINRA plans to consider a revised recruitment practices proposal that looks to omit the controversial retention deal aspect of the original plan.
September 11, 2014
FINRA Warns About Investing in Nigeria, Lebanon, Other Frontier MarketsFINRA issued an investor alert, saying these markets have heightened risks.