FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
BD to Pay $1.1M Over Variable Annuity Exchanges
By Melanie WaddellA rep at the firm, Centarus Financial, was also suspended for recommending 88 unsuitable VA exchanges, a FINRA order states.
July 07, 2026
FINRA Suspends NYLife Rep Fired for Falsifying DocumentsKim Thien Tran, suspended for nine months and fined $5,000, also commingled customer funds, an order states.
July 06, 2026
FINRA Shortens Wait Times for Retaking ExamsThe changes, effective immediately, apply to all of the regulator's qualification assessments.
June 26, 2026
FINRA Bars Ex-Ameriprise Advisor Accused of Taking $3.5M From ClientSung Moo Cho, most recently a Citigroup rep, refused to cooperate with a FINRA probe.
June 24, 2026
FINRA Ousts Morgan Stanley Broker Fired for Allowing Third-Party Access to Client's AccountJames Fredrick Tighe refused to testify about the allegations, FINRA says.
June 22, 2026
JPMorgan Fights $4M FINRA Award to Rep Fired Over Super Bowl PartyThe bank argued it "had ample reason to terminate" Brent Ryan Bodner for misrepresenting the nature of an expense.
June 22, 2026
Ex-Broker Pleads Guilty to Robbing Bank With Fake BombScott Charles Tunis reportedly had been experiencing financial stress and self-medicating with alcohol.
June 22, 2026
Stifel Pays $3M to Settle Claim Over Barred Broker's Structured Notes StrategyAfter a $133 million award in April, the firm faces up to 19 additional complaints tied to Chuck Roberts.