FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
BofA Rep Fired for Expensing $6,000 in Meals Takes FINRA Hit
By Melanie WaddellThe rep, suspended for nine months, charged BofA for food while working from home, FINRA states.
February 02, 2026
FINRA Fines BD $750K Over TextingBenjamin Edwards didn't supervise employees' messaging nor preserve and review reps' business-related texts, the order states.
January 30, 2026
FINRA Hits Another BD With Reg BI, Form CRS FineGMS Group fell short on written supervisory procedures, according to the regulator.
January 26, 2026
Ex-Stifel Rep Steered Older Clients to Costly Brokerage Trades: FINRAJonathan Webster placed trades in commission-based accounts rather than less expensive fee-based ones, a suspension order states.
January 23, 2026
FINRA Dings a BD for Lacking Leveraged ETF PoliciesStirlingshire Investments violated Reg BI when it failed to supervise reps' recommendations of the risky products, FINRA found.
January 21, 2026
Osaic Forerunner Wins Major FINRA Case Tied to Ex-BrokerThe case involved tens of millions in damage claims that Triad Advisors failed to adequately supervise James Walesa.
January 20, 2026
FINRA Sends Revised Outside Business Activity Rule to SECFINRA's new plan clarifies "a number of sticking points," including supervisory requirements for outside RIA activity, says ACA's Cooke.
January 20, 2026
Cetera Fined $1.1M Over AML, Other Failures: FINRACetera Advisors, Cetera Wealth Services and Cetera Investment Services were cited for supervisory compliance issues.