FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Leaders Need 'Micro-Knowledge' to Achieve Big Goals
By Jane Wollman Rusoff"Dig in and spend time with your teams," advises Jackson's Scott Golde, Luminaries winner for executive leadership.
May 29, 2024
FINRA Fines Thrivent $325K Over Forged E-SignaturesAt least 15 Thrivent reps electronically signed customer names on over 260 documents since 2017, FINRA says.
May 28, 2024
Fidelity Seeks More Time to Answer Whistleblower SuitFidelity seeks more time to answer a suit alleging it put profits over clients' best interests.
May 24, 2024
FINRA Suspends Rep for Violating Reg BI With L Bond SalesThe rep told a client to invest a large share of her assets in a speculative debt security, FINRA says.
May 23, 2024
FINRA Seeks to Ease Worries on New Home Office RulesSome BDs are incorrectly saying their workers will be required to return to the office full time, FINRA says.
May 21, 2024
FINRA Sanctions Firm, CEO for Reg BI ViolationsCEO Yong Soo Kim, who is also the firm's chief compliance officer, was suspended for two months.
May 20, 2024
Ex-Advisor Who Lied About Attempting Suicide Gets 3.5 Years for Bilking ClientThe client faced home foreclosure after the advisor failed to make mortgage payments as promised, the DOJ says.
May 15, 2024
FINRA Debuts Remote Inspections Resource for Advisors, FirmsThe voluntary, three-year Remote Inspections Pilot Program starts on July 1.