FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Texting Still in Regulators' Crosshairs
By Melanie WaddellIf regulators find violative conduct related to off-channel communications, they will bring actions, Eversheds attorneys say.
August 11, 2025
LPL Rep Sold Complex Product to 95 Year-Old Client, Violating Reg BIThe rep put the client in Government National Mortgage Association support class bonds, a mortgage-backed security.
August 06, 2025
Ex-Merrill Broker Faces Disciplinary Process Tied to Trading, Sales PracticesAli Chehab wouldn't provide documents, FINRA alleges, and told staff: "I do not care if I get barred."
August 01, 2025
Ex-Fidelity Advisor Charged With Fraud, Money LaunderingThe ex-Fidelity advisor took more than $2 million from a former client to travel, pay debts, DOJ says.
July 31, 2025
Ex-Amerprise Rep Barred for Taking $2.2M From ClientsThe rep, who started in the business in 1994, said he was borrowing money from two of his customers — one age 77.
July 30, 2025
Ex-Raymond James Advisor Barred Over Probe Tied to Elderly ClientsAfter 26 years in the business, Meredith Archer failed to testify about whether she misappropriated client assets.
July 29, 2025
In Rare Move, SEC Overturns a FINRA Bar Over Test-TakingAn SEC decision to reduce the rep's bar to a suspension is raising eyebrows.
July 28, 2025
7 Ways Advisors Stand Out as ProfessionalsWith significant education, training and accountability, wealth managers are more than just salespeople.