FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
First Trust Portfolios to Pay $10M Over Excessive Gifts to Reps
By Melanie WaddellFirst Trust preconditioned gifts on reps of client frms achieving sales targets, FINRA said.
October 27, 2025
FINRA Bars Ex-Raymond James Rep Accused of Stealing Client FundsJose Gamez failed to appear for testimony related to using client assets for personal reasons, the order states.
October 24, 2025
Out of FINRA's Sight, 'Bad Brokers' Keep Working in Financial ServicesThese brokers often pivot to the insurance industry, where they are likely to reoffend, a new paper finds.
October 24, 2025
BD Hit With $65K Fine Over Reg BI, Email, Outside Business ViolationsJ.K. Financial omitted information from Form CRS,, among other failures, according to FINRA.
October 22, 2025
FINRA Suspends Ex-Fidelity Rep Over Social Media PostsKevin Jenkins ran a company that posted unapproved finance-related content, according to FINRA.
October 17, 2025
State Regulators See Rise in Tech-Related SchemesInvestment frauds connected to social media use have been identified as "significant dangers" in an enforcement report.
October 17, 2025
FINRA Bars Ex-Edward Jones Rep Fired Over Outside InvestmentsThe rep failed disclose documents to FINRA related to the investments, which included purported crypto mining companies.
October 15, 2025
More Rule Changes Coming: FINRA Chief"We're looking at a wide range of areas, again based on feedback from our members," Robert Cook says.