FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Suspends Ex-Ameriprise Rep Over DUI Conviction
By Jeff BermanThe former broker failed to disclose the felony conviction for nearly five years, FINRA said.
September 22, 2023
Goldman Sent Inaccurate Data to the SEC on 163M TradesThe bank agreed to pay a $6 million fine.
September 22, 2023
5 Broker Behaviors That Should Raise a Red FlagFINRA is warning investors to be wary of certain behaviors by their brokers that can signal likely misconduct.
September 21, 2023
FINRA: Broker Barred After Investing $2M Without Firm's ApprovalHilltop Securities affiliate Momentum Independent Network fired the broker over the unapproved investments, FINRA said.
September 19, 2023
FINRA Boots Ex-Morgan Stanley Broker Accused of Fraudulent Fund TransfersThe former broker allegedly induced clients to transfer money for investments he never made.
September 08, 2023
FINRA Bars Ex-Schwab Broker for Taking Clients' Social Security ChecksThe former broker gave clients his own account number instead of theirs, FINRA said.
September 05, 2023
FINRA Hits Another BD With Reg BI-Related FineNetwork 1 Securities did not establish, maintain and enforce a supervisory system to comply with Reg BI's care obligation.
August 30, 2023
Ex-Morgan Stanley Exec Says He Was Fired for Being WhiteIn a lawsuit, Kevin Meyersburg alleges that the wirehouse replaced him with a less-qualified Black woman.