FINRA

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

Litigation

Schwab Sues Ex-Client Who Won't Return $1.2M Sent by Mistake

By Jeff Berman
Human Capital: Susan Schroeder Says Reg BI Enforcement Actions Loom

March 19, 2021

Human Capital: Susan Schroeder Says Reg BI Enforcement Actions Loom
FINRA's Top 5 Fine Categories in 2020

March 19, 2021

FINRA's Top 5 Fine Categories in 2020
Reg BI Enforcement Actions Coming Soon, ex-FINRA Enforcement Chief Says

March 17, 2021

Reg BI Enforcement Actions Coming Soon, ex-FINRA Enforcement Chief Says
FINRA Fines Ex-Waddell & Reed Broker Who Took Client Info to Securities America

March 15, 2021

FINRA Fines Ex-Waddell & Reed Broker Who Took Client Info to Securities America
FINRA Looks at Reg BI in Light of GameStop Frenzy

March 09, 2021

FINRA Looks at Reg BI in Light of GameStop Frenzy
FINRA Bars Ex-LPL Rep Accused of Investing Client's Money in Ponzi Scheme

March 03, 2021

FINRA Bars Ex-LPL Rep Accused of Investing Client's Money in Ponzi Scheme
FINRA Fines Ex-Morgan Stanley Rep Over Inaccurate Meal Expense Reports

March 01, 2021

FINRA Fines Ex-Morgan Stanley Rep Over Inaccurate Meal Expense Reports