FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Tried to Ban Firm for 60,000% Fee Hike. It's Fighting Back.
By Sabrina WillmerAlpine and three other firms are challenging FINRA's power in court; the Supreme Court may rule on the matter next year.
November 29, 2023
FINRA Fines TD Private Client Wealth for Email Review FailuresThe firm failed to review some employees' emails for years after they were hired, FINRA said.
November 29, 2023
FINRA Bars Broker Over Reg BI ViolationsThe broker's excessive trading caused clients to lose over $2.3 million, FINRA said.
November 27, 2023
Advisor Accused of Churning Retired Couple's PortfolioThe advisor allegedly made over $75 million in trades in 2021, according to the suit, which was later dropped.
November 21, 2023
Ex-Advisor Solicited Client Money for Film Business, Regulators SayChecks to Canal Productions represented self-dealing at an elderly client's expense, the inquiry alleges.
November 20, 2023
SEC OKs New FINRA Rules for Home Offices, Remote InspectionsThe changes "reflect today's hybrid work environment while still providing critical investor protections," FINRA said Monday.
November 14, 2023
FINRA Moves to Allow Performance Projections in Some BD MarketingThe proposal aligns with the SEC's marketing rule for RIAs.
November 08, 2023
Baird to Pay $519K Over Excessive Mutual Fund Sales ChargesCustomers didn't receive sales charge waivers and fee rebates to which they were entitled.