FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA's New 'Restricted Firm' Plan Is on Its Way
By Melanie WaddellRecruiter Jon Henschen discussed what the rule, expected to become effective within seven months, means for BDs and reps.
September 02, 2021
FINRA Names Vanguard CEO, Commonwealth Lawyer as New GovernorsVanguard CEO Tim Buckley will fill the FINRA board's investment company affiliate seat.
August 31, 2021
Barred Long Island Broker Arrested Again for Defrauding InvestorsHe was accused of stealing $80,000 from clients who thought they were investing in shares of Airbnb, DoorDash and Petco.
August 24, 2021
FINRA Fines Ex-Raymond James Rep Who Impersonated ClientThe rep, now with Ameriprise, allegedly pretended to be his client on a phone call with an annuity company, FINRA says.
August 20, 2021
Regulators Are Embracing the Latest Tech Tools. Are You?Legacy systems just can't keep up with changing compliance demands of compliance.
August 20, 2021
FINRA Seeks Sanctions Against Ex-Pru Rep Over Fake Insurance ApplicationsThe former Pruco broker also allegedly forged clients' signatures, FINRA says.
August 19, 2021
SEC Bars Ex-LPL Rep Who Stole More Than $600K From Retired ClientThe ex-LPL broker pleaded guilty to one count of wire fraud in May.
August 16, 2021
FINRA Bars Ex-New York Life, Pru Rep Over Forged Annuity FormsThe former rep allegedly submitted applications for clients without their consent in order to meet production requirements.