FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Seeks to Align BD, Advisor Portfolio Performance Projections
By Melanie WaddellFINRA's board approved changes to its Communications With the Public rule to better align with the SEC's Marketing Rule.
June 17, 2025
BDs Demand a Revamp of These FINRA RulesFINRA is conducting a broad review, and firms aren't mincing words on the changes they'd like to see.
June 12, 2025
New York Tax Preparer Charged in $50M Fraud SchemeMiles Burton Marshall, arrested Monday, allegedly stole from nearly 1,000 investors in a decades-long scam.
June 11, 2025
FINRA Seeks to Allow Challenges to Suspensions, BarsThe rule change would let reps and BDs request relief from the SEC at FINRA's discretion.
June 10, 2025
Fired Edward Jones Advisor Wins a Cleanup of His RecordThe explanation for Matthew Hawk's dismissal on his Form U-5 was defamatory, a FINRA arbitrator ruled.
June 06, 2025
SEC Says Advisor Defrauded Clients on FeesDavid A. Nagler and his firm allegedly overcharged clients and levied "consulting" fees without their knowledge.
June 06, 2025
FINRA to Raise Gift Limit to $250FINRA has filed with the SEC to increase the gift limit from $100 per person per year.
June 05, 2025
FINRA Panel Awards $1M to Advisor Over UBS TerminationUBS said it will consider its options after the split arbitration decision.