FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
In Rare Move, SEC Overturns a FINRA Bar Over Test-Taking
By Melanie WaddellAn SEC decision to reduce the rep's bar to a suspension is raising eyebrows.
July 28, 2025
FINRA Bars Ex-Northwestern Mutual Employee Over Faked Exam ScoreWillnard Love lied to his firm about passing the Securities Industry Essentials exam, the regulator found.
July 28, 2025
FINRA Takes a Hard Look at Its Enforcement ProgramThe review, conducted with outside experts, is aiming for "meaningful, common-sense improvements."
July 23, 2025
Ex-Schwab Rep Hid Profit-Sharing Agreement With Client: FINRADaniel Michael Roper made more than 20,300 trades in exchange for a cut of the profits, the regulator says.
July 23, 2025
Advisor Fined for Impersonating Clients on CallsNo clients were harmed, Chad Rogers of Oklahoma told FINRA.
July 22, 2025
Former Broker Accused of Running $9.5M Ponzi SchemeThe former broker purportedly retired after a 2014 suspension but kept soliciting investments, fraudulently, prosecutors allege.
July 22, 2025
House Passes Accredited Investor Bill Calling for FINRA ExamThe bill would let individuals take an exam in order to qualify for private investment opportunities.
July 17, 2025
FINRA Bars Ex-Stifel Advisor Linked to $132M Arb AwardChuck A. Roberts, the subject of several client complaints, refused to appear for on-the-record testimony.