FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness Tampering
By Jeff BermanFINRA already barred the ex-broker, who also pleaded guilty to fraud and identity theft last year.
November 16, 2022
FINRA Launches Targeted Exam of BDs' Crypto Asset CommunicationsThe exam targets broker-dealer practices regarding retail communications concerning crypto asset products and services.
November 15, 2022
Jury Convicts Ex-Broker Who Lived Lavish Lifestyle Instead of Paying TaxesJames Millegan concealed millions of dollars from the IRS, according to court documents.
November 14, 2022
FINRA Bars Ex-Morgan Stanley Rep Who Steered Clients to Outside InvestmentsThe ex-broker recommended unapproved outside real estate investments to clients, FINRA said.
November 12, 2022
Ex-Broker Pleads Guilty To Stealing $500K From ClientsJennifer Campbell, 47, faces a maximum penalty of 20 years in prison and a $250,000 fine.
November 04, 2022
More Reg BI Cases in the Pipeline, FINRA Chief WarnsFINRA CEO Robert Cook urged firms to beef up their Reg BI compliance.
November 01, 2022
Graying Brokerage Industry Prompts Need for Succession Plans: FINRAA new regulatory notice encourages registered reps to have a succession plan in place.
October 31, 2022
Barred Broker Sentenced to 5 Years for Fraud That Shuttered Life Insurance FirmThe ex-broker scammed a life insurance company that was his client, leading it to be forced into liquidation.