FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Enforcement: HFP Capital Markets Expelled From FINRA for Note Fraud
By Marlene Y. SatterFINRA also censured Saddle River, New Jersey-based Felix Investments.
August 25, 2014
FINRA Fines on Pace to Approach Financial Crisis Levels, Led by ‘Supersized’ FinesFines imposed by the Financial Industry Regulatory Authority in 2014 are poised to far outpace those reported by the regulator in 2013, according to an analysis released Aug. 1 by the law firm Sutherland Asbill & Brennan.
August 18, 2014
FINRA Charges Wedbush With Market Access ViolationsWedbush's lax supervision enabled customers to flood U.S. exchanges with thousands of potentially manipulative wash trades, FINRA says.
August 15, 2014
Former SEC Chief Walter Named FINRA Public GovernorFINRA announced Thursday that former SEC Chairwoman Elisse Walter has been elected to FINRAs Board as public governor.
August 08, 2014
SEC, FINRA Enforcement: Reps Sold ETFs They Didn’t UnderstandIn other enforcement news, the SEC charged an energy firm and a stock promoter with defrauding investors about its oil reserves.
August 05, 2014
Battered Morgan Stanley Breakaway Advisor Fights BackBreakaway advisor James Eastman tells ThinkAdvisor how Morgan Stanley read his email and painted his compliance record when he tried to leave.
August 01, 2014
FINRA Move on Brokers' Expungement a Good First StepOver the past five years, state securities regulators have used the CRD and IARD public records to weed out more than 20,000 bad actors.
August 01, 2014
FINRA’s 5 Biggest Fine Categories in First Half of 2014Fines imposed by FINRA in 2014 are poised to far outpace last years, says a new analysis by the law firm Sutherland.