FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
JP Morgan Loses $39.7M Arbitration Against Barred Broker
By Melanie WaddellThe financial services firm claimed that Edward Turley, a former advisor, "unjustly enriched himself by brazenly lying."
December 18, 2024
FINRA Awards $4.8M to Baird in Raymond James Poaching DisputeThe payments represent only a fraction of the $74 million in damages sought by the wealth management firm.
December 02, 2024
FINRA Explains How to Amend Form U4 Under Home Office RuleA response to the Residential Supervisory Location question is required.
November 27, 2024
More Than 60 Brokers Hit With FINRA Sanctions Over CE CheatingAnother individual completed the required training on the brokers' behalf, FINRA says.
November 25, 2024
Ex-LPL Rep Let Business Partner Sign for Customers: FINRABrenton Charles Schmidt signed the documents after his business partner signed for the customer, according to the regulator.
November 19, 2024
FINRA Fines CUNA Brokerage Services Over Deleted Rollover RecordsThe BD inadvertently deleted 14,000 records, violating Reg BI, FINRA says.
November 13, 2024
FINRA Files to Raise Fees Starting in 2025The median large firm would pay an extra $415,000 a year by 2029.
November 08, 2024
Osaic Failed to Supervise Trading in Dead Client's Account: FINRAThe broker-dealer, earlier known as SagePoint, was fined $250,000 for issues with this matter and another account.