FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Schwab Sues Ex-Client Who Won't Return $1.2M Sent by Mistake
By Jeff BermanThe firm alleges that a former client refuses to return money "inadvertently transferred" to her Fidelity account due to a software error.
March 19, 2021
Human Capital: Susan Schroeder Says Reg BI Enforcement Actions LoomThe ex-FINRA enforcement chief also weighs in on what Gary Gensler's likely arrival at the SEC means for Reg BI.
March 19, 2021
FINRA's Top 5 Fine Categories in 2020Overall, FINRA reported $57 million in fines in 2020, a 43% increase from 2019.
March 17, 2021
Reg BI Enforcement Actions Coming Soon, ex-FINRA Enforcement Chief SaysA preview of Human Capital's interview with former FINRA enforcement chief Susan Schroeder.
March 15, 2021
FINRA Fines Ex-Waddell & Reed Broker Who Took Client Info to Securities AmericaThe ex-Waddell rep shared his clients' nonpublic personal info with a third-party vendor, FINRA says.
March 09, 2021
FINRA Looks at Reg BI in Light of GameStop FrenzyFINRA will consider whether Reg BI applies to game-like features in trading apps, CEO Robert Cook told Sen. Elizabeth Warren.
March 03, 2021
FINRA Bars Ex-LPL Rep Accused of Investing Client's Money in Ponzi SchemeThe former broker allegedly moved a client's IRA to a different administrator and used forged documentation to invest the money.
March 01, 2021
FINRA Fines Ex-Morgan Stanley Rep Over Inaccurate Meal Expense ReportsThe advisor sued Morgan Stanley for wrongful termination.