FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
10 Worst Financial Advisors in America: 2021
By Jeff BermanThis year's worst advisors allegedly committed some of the usual crimes—and some that will definitely surprise you.
November 29, 2021
4 Big FINRA Rule Changes in 2021The BD regulator has been busy updating its rule book, and more changes are expected in 2022.
November 24, 2021
10 Cool Holiday Gifts for Clients Under $100These gifts range from the practical to the nice-to-have to the whimsical and fit within FINRA's client gifting rules.
November 24, 2021
Ex-Edward Jones Rep Indicted for Allegedly Defrauding Clients Out of $778KRonald Molo used some funds to pay for vehicles, credit card balances and home mortgages, prosecutors say.
November 23, 2021
2021 News of the YearWe review the major developments affecting financial advisors — from Wall Street to Washington — over the past 12 months.
November 19, 2021
FINRA: Ex-Edward Jones Rep Made Over 800 Unauthorized TradesFINRA suspended and fined the former broker, saying he also falsely identified himself as a senior vice president of a clearing firm.
November 17, 2021
FINRA Makes Big Adjustments to CE RulesThose registered with FINRA must now complete continuing education requirements yearly instead of every three years.
November 17, 2021
FINRA: Ex-Northwestern Mutual Rep Misused Funds Raised for Kids' Cancer CharityFINRA barred the broker for allegedly sending donated funds to his own bank account instead of the charity they were supposed to go to.