FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines, Suspends Broker Who Hid Felony Charges
By Jeff BermanThe broker pleaded guilty to attempted vehicular assault and waited 10 months too long to report it, FINRA says.
December 20, 2022
Ex-Merrill Advisor Who Threw Smoothie Catches FINRA's Eye Over Cash TransactionsFINRA says James Iannazzo structured cash transactions in his personal accounts to avoid federal reporting requirements.
December 16, 2022
11 Big Advisor Regs That Moved Forward in 2022The SEC, FINRA and DOL have proposed or finalized several rules this year.
December 14, 2022
Edward Jones Fined $1.1M Over Phone RecordsThe firm failed to produce complete and accurate records in connection with 10 investigations, FINRA alleged.
December 06, 2022
Advisor Group BDs Hit With $1.3M FINRA PenaltyThe firm's BDs "negligently failed" to tell investors that GPB Capital didn't "timely make" required SEC filings tied to private placements.
December 02, 2022
Ex-LPL Rep Charged With Stealing $1.3M From Client With DementiaBradley Goodbred was arrested and charged with 23 felonies.
December 02, 2022
Advisors Could 'Skirt the Rules' Under FINRA Home Office Plan: PIABAPIABA is again asking the SEC to reject FINRA's proposal to home offices as non-branch locations.
December 01, 2022
Barred Broker Ordered to Pay $5.7M Over Cancer Treatment SchemeA three-member FINRA arb panel ruled against the former broker.