FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
More Rule Changes Coming: FINRA Chief
By Melanie Waddell"We're looking at a wide range of areas, again based on feedback from our members," Robert Cook says.
October 09, 2025
Ex-Wells Fargo Rep Deleted Texts, Impeded Investigation: FINRAEyan Townsend deleted business-related texts from his personal phone, according to the regulator.
October 09, 2025
Merrill Agrees to $9.5M Settlement With Retired Miami DolphinReshad Jones had accused his former advisor of stealing more than $2 million, along with other misconduct.
October 06, 2025
Orion Veterans Launch AI-powered Communication PlatformThe founders of Hamachi.ai include technology entrepreneurs Eric Clarke, Brian McLaughlin, Mike Wilson and Mustapha Baassiri.
October 06, 2025
Synovus Securities to Pay $315,000 Over E-SignaturesThe BD failed to detect red flags that four associated persons forged and falsified hundreds of signatures, FINRA says.
October 06, 2025
FINRA Suspends Ex-NY Life Rep Over Expense ReportsThe rep charged more than $4,000 in personal expenses to his corporate credit card, FINRA says.
October 03, 2025
FINRA Panel Upholds Advisor Penalty Over Retiree's Ex-Wife Draining IRAThe client denied authorizing his former spouse to order trades.
October 02, 2025
Rep in Hot Water Over Annuity Swaps in Senior Clients' AccountsFINRA has fined and suspended an Oakwood Capital rep for recommending seven unsuitable variable annuity exchanges.