FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Are You Making These Compliance-Related Annuity Mistakes?
By Melanie WaddellFailing to understand a client's needs and not documenting why the product is suitable are just two concerns, advisors say.
July 08, 2026
Call for FINRA to Update Document-Request Rules Draws ScrutinyThe Rule 8210-related changes, part of a larger report, would make it easier for firms to block enforcement, PIABA's president argues.
July 07, 2026
FINRA Suspends NYLife Rep Fired for Falsifying DocumentsKim Thien Tran, suspended for nine months and fined $5,000, also commingled customer funds, an order states.
July 06, 2026
FINRA Shortens Wait Times for Retaking ExamsThe changes, effective immediately, apply to all of the regulator's qualification assessments.
June 26, 2026
FINRA Bars Ex-Ameriprise Advisor Accused of Taking $3.5M From ClientSung Moo Cho, most recently a Citigroup rep, refused to cooperate with a FINRA probe.
June 24, 2026
FINRA Ousts Morgan Stanley Broker Fired for Allowing Third-Party Access to Client's AccountJames Fredrick Tighe refused to testify about the allegations, FINRA says.
June 22, 2026
JPMorgan Fights $4M FINRA Award to Rep Fired Over Super Bowl PartyThe bank argued it "had ample reason to terminate" Brent Ryan Bodner for misrepresenting the nature of an expense.
June 22, 2026
Ex-Broker Pleads Guilty to Robbing Bank With Fake BombScott Charles Tunis reportedly had been experiencing financial stress and self-medicating with alcohol.