FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Clarifies Outside Business Activities Plan
By Melanie WaddellBrokers will not be required to report personal transactions like trading bitcoin or buying insurance, FINRA said Monday.
April 17, 2025
Ex-Morgan Stanley Rep Barred by FINRA for Alleged Profit-Sharing SchemeFINRA says Joseph Eisler secretly helped a client trade newly issued stock so he could profit from the arrangement.
April 15, 2025
FINRA Reevaluates Its Office CategoriesThe regulator is exploring the impact of new technology and hybrid work on how offices should be supervised.
April 08, 2025
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From WidowJohn Winslow is accused of taking over $920,000 from a client and trading gold coins to conceal it.
April 02, 2025
Ex-Morgan Stanley Advisor Sentenced to 12 Years in Fraud SchemeJesus Rodriguez of El Paso, Texas, spent clients' money on himself, including a Lamborghini purchase, authorities found.
April 01, 2025
BD to Pay $150K Over Reg BI, Form CRS FailuresThurston Springer's written policies discussed Reg BI in general terms and did not include procedures for delivering Form CRS.
March 31, 2025
FINRA Bars Ex-LPL Rep Over Texting, Outside Business ActivityDerek Lee Copeland participated in private securities transactions and exchanged over 2,250 business-related communications, FINRA found.
March 28, 2025
'Naming and Shaming' Discourages Advisor Misconduct: StudyNew research found that firms with high misconduct rates cleaned up their acts after their names were published.