FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Rep in Hot Water Over Annuity Swaps in Senior Clients' Accounts
By Melanie WaddellFINRA has fined and suspended an Oakwood Capital rep for recommending seven unsuitable variable annuity exchanges.
September 30, 2025
FINRA Issues Warning for Firms Outside the U.S.Even firms that operate abroad must respond to a FINRA request, the regulator says in a new notice.
September 26, 2025
FINRA to Send Revised Outside Business Activity Plan to SECIndustry officials are bracing to see if the proposal includes changes to supervisory requirements for outside RIA activity.
September 24, 2025
FINRA Files to Raise Gift Limit to $300The BD regulator proposed in June an increase to $250 but was swayed by industry feedback.
September 22, 2025
Ex-Wells Fargo Broker Suspended, Fined Over $675K Customer BequestCarol Abdo-Brownsberger provided inaccurate information on her role as a foundation trustee, FINRA says.
September 17, 2025
Ex-Citi Rep Fined, Suspended Over Outside Business ActivityMaximiliano Ramirez was a member and 50% owner of an insurance agency while at Citigroup Global Markets, FINRA says.
September 15, 2025
FINRA Accuses Ex-Broker of Cheating on Securities ExamJoshua E. Scholnick flunked the test, the regulator says.
September 02, 2025
FINRA Fines, Suspends Ex-Rep Over Texting, Unauthorized TradesJoseph Warner Rozof made discretionary trades in clients' accounts and texted about transactions, according to FINRA.