FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Is Stepping Up Reg BI Actions, Enforcement Chief Says
By Melanie WaddellThe regulator has brought cases on Form CRS, excessive trading and variable annuities, Bill St. Louis says.
April 08, 2024
FINRA Suspends Ex-Rep Over Reg BI ViolationsOver an 11-month period the rep effected 91 trades in the account of a customer in her early sixties.
April 08, 2024
FINRA Hits BD With $500k Fine Over TextingIt also suspended the firm's CEO for not preserving and checking 10,900 text messages sent or received by 27 associated persons.
April 05, 2024
Ex-Ameriprise Advisor Awaits Sentencing in $1.2M Fraud CaseThe Texas-based planner pleaded guilty to defrauding clients; she used money to buy a house and shotgun.
April 05, 2024
FINRA Hits Another BD in Finfluencers SweepThe promotional communications on social media platforms contained promissory language and violated organizational rules.
April 04, 2024
Get Ready! FINRA's New Home Office Rules Are Nearly HereThe new rules "will be key in defining ... how firms conduct branch office inspections," says ACA Group's Patrycja Savignano.
March 29, 2024
FINRA Hits BD With $250K Fine Over Emails, IMsH2C Securities failed to preserve and review over 1.25 million business-related electronic communications on four platforms.
March 26, 2024
Stifel to Pay $2.3M Over Sales of Complex ETFsThe reps' 'misuse' of the nontraditional funds caused clients to lose $1.3 million, FINRA says.