FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Broker Sentenced to 9 Years for Long-Running $9.5M Ponzi Scheme
By Dinah Wisenberg BrinEdwin Emmett Lickiss Jr., 78, pleaded guilty earlier to wire fraud and money laundering.
September 14, 2026
How to Modernize Digital Workflows and Reduce Off-Channel RiskCombing clear policies with consistent procedures is not compliance as burden; it's compliance as practice infrastructure.
September 11, 2026
Schwab Must Pay $1.3M After Scam Snags Elderly ClientFunds were wired from an 82-year-old customer's trust account to a crypto firm, his sons' lawyer says.
September 04, 2026
FINRA Bars Ex-Northwestern Mutual Rep for Taking Loan From a ClientDaniel Schmid violated firm policies by borrowing $25,000 from a customer for a business venture, an order states.
August 27, 2026
Ex-Advisor Sentenced to Nearly 6 Years for Wire Fraud, Identity TheftDean Dellas defrauded a 61-year-old man and his 91-year-old mother, according to a parallel civil complaint.
August 26, 2026
What to Know About High-Risk Structured NotesStructured products can help limit losses, but they can come with steep fees and other downsides.
August 25, 2026
FINRA Suspends Rep for Excessive Trading in Retiree's AccountGary Talbot of Spartan Capital recommended a series of transactions that violated Regulation Best Interest, an order states.
August 21, 2026
With 261 Designations and Counting, How Many Are Worth It?FINRA maintains a list of the certification programs but does not regulate the entries.