FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Envestnet Acquires Harvest Savings & Wealth: Tech Roundup
By Jeff BermanAlso, fintech firm fabe launches a SaaS application to help advisors value their firms for a sale.
April 05, 2021
UBS Must Pay $371K to Clients: FINRA PanelA FINRA arbitration panel ruled in favor of UBS clients, who alleged the firm's options-trading strategy exposed them to significant risks.
April 01, 2021
FINRA Fines Ex-Broker Who Covered Up Conviction for Sex With a MinorThe former rep "willfully failed to timely amend" his Form U4 to disclose he was charged with three felonies, FINRA says.
March 31, 2021
Schwab Sues Ex-Client Who Won't Return $1.2M Sent by MistakeThe firm alleges that a former client refuses to return money "inadvertently transferred" to her Fidelity account due to a software error.
March 29, 2021
10 Worst Financial Advisors in America: 2020Last year's worst advisors allegedly ran Ponzi schemes, stole from the elderly and veterans, and one was even charged with murdering a client.
March 22, 2021
FINRA Fines Ex-JPMorgan Broker Who Split Trades to Boost CommissionsThe broker broke 1,106 orders into more than more than 7,500 smaller trades, according to FINRA.
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.