FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Stifel Pays $3M to Settle Claim Over Barred Broker's Structured Notes Strategy
By Melanie WaddellAfter a $133 million award in April, the firm faces up to 19 additional complaints tied to Chuck Roberts.
June 15, 2026
New York Tax Preparer Sentenced in $50M Ponzi SchemeMiles Burton Marshall had pleaded guilty to grand larceny, securities fraud and scheme to defraud.
June 12, 2026
Merrill to Pay $225K for Not Reporting Client ComplaintsThe firm failed to report thousands of customer issues made through its call and support centers, FINRA finds.
June 12, 2026
FINRA Files to Make Remote Inspections PermanentThe regulator is also seeking approval on rules to modernize home office inspections and more flexible CE requirements.
June 11, 2026
PRO
Stifel's Rogue Broker Fiasco Highlights Risks of Structured Notes"It appears as though the inmates were running the asylum with respect to this product," a plaintiffs attorney says.
June 09, 2026
FINRA Suspends Ex-Merrill Rep for Charging Personal Expenses on Firm Credit CardMelacknesh Belay Igwe submitted inaccurate expense reports, an order states.
June 09, 2026
Growth in Dual Registrants Makes Sense: FINRA CEORobert Cook talked with FSI's Dale Brown about the convergence of the BD and IA models.
June 04, 2026
Rep in Hot Water Over Annuity Rider, Reverse Mortgage RecommendationsClayton K. Shum also engaged in undisclosed outside business activities and disclosed clients' personal information, FINRA states.