FINRA

Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.

Ex-LPL Rep Pleads Guilty to Stealing More Than $600K From Retired Client

May 13, 2021

Ex-LPL Rep Pleads Guilty to Stealing More Than $600K From Retired Client
FINRA Plans Return of In-Person Arb Hearings in July

May 10, 2021

FINRA Plans Return of In-Person Arb Hearings in July
Barred Long Island Broker Charged in Pre-IPO Share Scam

April 30, 2021

Barred Long Island Broker Charged in Pre-IPO Share Scam
FINRA Provides Advice for BDs to Fight Fraud

April 26, 2021

FINRA Provides Advice for BDs to Fight Fraud
FINRA Warns BDs on Arbitration Agreements

April 23, 2021

FINRA Warns BDs on Arbitration Agreements
FINRA Suspends Broker Named as Client Trustee

April 20, 2021

FINRA Suspends Broker Named as Client Trustee
FINRA Suspends Ex-Morgan Stanley Rep Who Didn't Disclose Rental Property

April 16, 2021

FINRA Suspends Ex-Morgan Stanley Rep Who Didn't Disclose Rental Property