FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
BD Hit With $80K Fine Over Annuity Switches, Background Checks: FINRA
By Melanie WaddellSupreme Alliance failed to supervise purchases of deferred variable annuities and rates of VA exchanges, the order states.
October 28, 2025
BD Fined $100K for Letting Suspended Rep Keep WorkingIndependent Financial Group permitted the rep to enter securities orders through its clearing firm, 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.