FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-LPL Rep Suspended by FINRA Over Unapproved Soccer Team Investments
By Jeff BermanThe former LPL broker solicited investors for private securities transactions, then tried to hide it from the firm, regulator claims.
July 01, 2020
FINRA: Broker Broke Into Former Firm's Office for FilesThe rep has not updated his Form U4 to disclose a related criminal charge, FINRA says.
July 01, 2020
FINRA Plans Fee Hikes for 2022 and BeyondThe fee increases will be phased in over several years, the regulator says.
July 01, 2020
Lawyers: GPB Capital Scam Bilked Investors Out of $1.8BThe law firm also filed a FINRA arb claim against SagePoint Financial on behalf of a client who invested in a GPB portfolio.
June 30, 2020
FINRA Elects Murray as Board ChairEileen Murray, former co-CEO of Bridgewater Associates, has held senior posts at Morgan Stanley and other firms.
June 29, 2020
Hightower Expects 'Material Revision' to $1.2M Set Aside for 529 Plan OverchargesThe firm said it would participate in FINRA's 529 Plan Share Class Initiative.
June 25, 2020
FINRA Suspends Ex-Wells Fargo Rep Over Crypto ConcealmentThe former broker was engaged in unauthorized cryptocurrency business activities, the regulator says.
June 24, 2020
FINRA Suspends Ex-CEO From Shuttered BD First StandardThe former CEO must pass the Series 24 exam again before he could serve as a principal for any FINRA member.