FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Merrill Broker Sentenced to Two Years in Prison
By Melanie WaddellRajesh Markan was also ordered to pay $2.5 million to investors in a fake private equity fund.
December 19, 2025
FINRA Suspends, Fines Rep Over Unapproved Trades, TextsThe Alliance Global Partners rep used his cell phone to exchange thousands of business-related texts, FINRA says.
December 16, 2025
BD to Pay $150K Over L Bond Recommendations to SeniorsKingswood Capital, FINRA says, failed to supervise a rep's sale of a high-risk investment from GWG Holdings.
December 15, 2025
How Social Media’s Influence on Investing Is Evolving: FINRAIt provides opportunities for member firms to engage with clients and gain market insights from data, a study finds.
December 15, 2025
FINRA Fines Ex-Raymond James Rep for Taking, Altering Client InfoThe rep changed client contact information in Raymond James' system before leaving for Piper Sandler, FINRA states.
December 11, 2025
FINRA Bars Ex-Broker Fired by LPL for Accessing Former Client AccountsJennifer H. Ceterko also participated in account activity in those outside accounts, according to the regulator.
December 10, 2025
FINRA Warns Against Careless 'Mid-Segment' RILA WithdrawalsAdvisors who recommend taking cash out early must think about the current value, according to a new oversight report.
December 10, 2025
FINRA Bars Ex-Broker Fired for Doing Business by Unapproved EmailThe ex-Marex Capital Markets rep also provided colleagues his login credentials, FINRA says.