FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Planner Accused of Buying House With $2M in Client Funds
By Dinah Wisenberg BrinThe unregistered planner and an investment advisor received a cease-and-desist order in Indiana.
January 23, 2024
BD Crypto Communications Not Up to Snuff: FINRAA report found that 70% of retail communications potentially violate a rule on fair and balanced interactions.
January 22, 2024
FINRA Suspends Broker Over Reg BI ViolationsThe broker engaged in quantitatively unsuitable trading in the accounts of eight clients, three of whom were seniors.
January 12, 2024
FINRA Sees Spike in 'Investment Group' Frauds on Social MediaBad actors are posing as RIAs online and pitching investments though encrypted group chats, the organization warns.
January 03, 2024
FINRA Moves to Tighten Brokers' Ability to Borrow Client MoneyFINRA's plan would strengthen the general prohibition against borrowing and lending and narrow some existing exceptions.
December 28, 2023
LPL Fined $5.5M for Transaction Supervision IssuesThe broker-dealer also will pay $650,000 in restitution plus interest to 125 clients affected by its failures from 2012 to 2019.
December 18, 2023
10 Worst Financial Advisors in America: 2023While most advisors make clients' lives better, others stand accused of financial crimes — and worse.
December 11, 2023
FINRA Releases Reg BI NoticeThe notice points broker-dealers to various SEC resources to help them comply with the best-interest rules.