FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-New York Life Rep Falsified Applications: FINRA
By Melanie WaddellShe paid premiums for customers and collected commissions, FINRA says.
June 17, 2024
Principal Ordered to Pay $7.3M to Medical Research FoundationThe foundation says the company let an advisor recommend unsuitable life and annuity products.
June 13, 2024
Wells Fargo Fires Over a Dozen for 'Simulation of Keyboard Activity'The staffers, all in the firm's Wealth and Investment Management unit, were discharged after faking work.
June 13, 2024
FINRA Slaps Rep for Texts, LinkedIn MessagesThe rep exchanged more than 1,000 business communication outside allowed channels, FINRA says.
June 10, 2024
FINRA Slaps BD With $250K Finfluencer FineInfluencers paid by TradeZero America made exaggerated claims on the firm's behalf, FINRA says.
June 06, 2024
Ex-Broker Charged With Bilking at Least 17 Clients in $2.7M FraudJared Dean Eakes gained access to the clients by buying books of business under false pretenses, prosecutors say.
June 03, 2024
Morgan Stanley Loses Another FINRA Fight Over Deferred CompThe order comes as the firm seeks court intervention in a saga involving deferred compensation "clawback" litigation.
May 31, 2024
Will an Ex-Fidelity Advisor's Reg BI Suit Catch the SEC's Eye?The case could have implications for the broader financial services industry, lawyers say.