FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
When an Advisor Departure Turns Into a Lawsuit
By Scott L. Evans and Amber R. AriasWhat emerges within 30 days of a move often shapes the outcome.
September 22, 2026
FINRA Bars Ex-Raymond James Rep Accused of Borrowing From Clients, Taking GiftsJayme Frances Lemaire refused to provide information or documents for an investigation, an order states.
September 22, 2026
FINRA's BrokerCheck Now Links to Derivatives Industry DatabaseThe tool connects to the National Futures Association's Background Affiliation Status Information Center, or BASIC.
September 22, 2026
Osaic to Pay $1.6M Over Unit Investment TrustsAmerican Portfolios, a former unit, failed to supervise recommendations that customers sell before maturity, FINRA states.
September 21, 2026
Schwab Ordered to Pay $4.5M to Retirees Over Complex ProductsThe award, to retired teachers and school board employees, was the biggest ever granted to Schwab customers, a lawyer says.
September 18, 2026
Firms Cheer FINRA's Comms Plan but Call for More AI ClarityFidelity and Schwab were among firms weighing in on how FINRA should regulate AI.
September 18, 2026
UBS Rep Cheated on Series 66 Exam During Bathroom Break: FINRAShay Donovan was suspended and fined for accessing personal notes and study materials, an order states.
September 17, 2026
NYLife Rep Fired Over Outside Activities Gets Boot From FINRAGerald J. Page declined to produce documents for an investigation of his conduct, according to the regulator.