FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Brokers for Fleecing Elderly Widow
By Melanie WaddellThe two brokers took $300,000 from a widow with diminished mental capacity, FINRA said.
October 31, 2013
SEC, DOL, FINRA Enforcement: SAC Capital Could Plead GuiltyAmong other recent enforcement actions, DOL retrieved $1.6 million for Sunkist employees and FINRA fined and censured Scottrade.
October 28, 2013
‘Alarming’ Number of Broker Arbitration Records Wiped Clean: StudyA study of more than 1,600 arbitration cases over the past five years shows an alarmingly high rate of brokers who were able to get their arbitration histories wiped clean, according to a report released in mid-October by the Public Investors Arbitration Bar Association (PIABA).
October 21, 2013
When disaster strikes: How good is your plan?If another Superstorm Sandy struck, could you get back online within 24 to 48 hours?
October 21, 2013
When disaster strikes: How good is your plan?If another Superstorm Sandy struck, could you get back online within 24 to 48 hours?
October 18, 2013
FINRA Warns BDs to Better Manage Conflicts of InterestFINRA says it may make a new disclosure rule if BDs fail to implement fiduciary-like methods to handle conflicts.
October 16, 2013
‘Alarming’ Number of Brokers’ Arb Records Wiped Clean: StudyAn author of the study by PIABA, a legal group, says that this a "major investor protection problem."
October 11, 2013
8 critical questions to prepare for FINRA suitability examsIf you cant answer them, one lawyer says its time to revisit your policies and procedures before FINRA does it for you.