FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Edward Jones Freezes $3M Account Under Senior Fraud Rule
By Melanie WaddellLarry Williams, 86, balked and moved money to Merrill Lynch, the Dallas Morning News reports.
July 29, 2026
RBC to Pay $275K Over Anti-Money Laundering FailuresOver seven years, a FINRA order states, the firm did not have an AML compliance program "reasonably designed to detect and cause the reporting of suspicious transactions."
July 28, 2026
Edward Jones Asks Court to Compel 6 Black Advisors to Arbitrate Bias ClaimsA putative class-action lawsuit contends that the financial services firm discriminates in compensation, firings and promotions.
July 28, 2026
BD Fined $70K Over Reg BI Violations, Annuity Switches: FINRAThe Logan Group, an order states, failed to collect and consider client information related to recommended deferred variable annuities.
July 24, 2026
FINRA Suspends Ex-Morgan Stanley Rep Over Options Trades, TextingOne client couple lost almost $400,000 as the broker generated $62,000 in commissions, according to the regulator.
July 23, 2026
Financial Literacy Key to Spotting Fraud: FINRABoosting such knowledge is tied to greater fraud awareness, according to the regulator's Investor Education survey.
July 21, 2026
5 Big FINRA Moves in the Last 12 MonthsThe BD regulator has gotten the go-ahead to make several adjustments over the past year.
July 20, 2026
Why FINRA Is Requiring Less Exam Data From BDsThe regulator has reduced data requests for exams by 12% and will examine lower-risk firms less frequently.