FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Broker Who Used Client Funds to Pay Taxes, Buy Race Car Items Gets 10-Year Sentence
By Jeff BermanThe judge also ordered the former broker to pay $3.5 million in restitution.
October 06, 2023
FINRA Files to Limit Non-Lawyers' Work on Arb CasesParties in FINRA-arbitrated disputes would no longer be allowed to pay non-attorneys to represent them.
October 06, 2023
900 Individuals Returned to Industry Using FINRA Continuing Ed ProgramThe Maintaining Qualifications Program is open for enrollment until Dec. 31.
October 03, 2023
FINRA Fines Former LPL Rep for Faking 30 Clients' SignaturesThe regulator also suspended the former broker for four months.
October 02, 2023
Fidelity Fined $1.7M for Lax Approval of Options TradersFINRA and the Massachusetts Securities Division fined Fidelity for "rubber-stamping" options trading applications.
September 29, 2023
FINRA Suspends Ex-Ameriprise Rep Over DUI ConvictionThe former broker failed to disclose the felony conviction for nearly five years, FINRA said.
September 28, 2023
FINRA Files to Extend Remote Inspections Into 2024The temporary relief would allow remote inspections to continue until June 30.
September 26, 2023
Former Football Star and Morgan Stanley Rep Gets FINRA PenaltyWilliam Donovan Ard, a onetime NFL guard, allegedly mismarked orders and used an unapproved cellphone for client communications.