FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA May Modify Rulebook, Supervision in Light of Virus
By Melanie WaddellFINRA is considering the regulatory implications of a wave of brokers continuing remote work after the pandemic.
July 09, 2020
FINRA Bars Ex-J.P. Morgan Rep Who Thumbed Her Nose at ProbeThe former broker allegedly used her personal email and phone to communicate with clients.
July 09, 2020
Morgan Stanley to Pay $875K Fine for Bad Trade DataThe firm submitted "at least 869 inaccurate blue sheets," according to FINRA.
July 08, 2020
Securities America's Nagengast Renominated to FINRA BoardNagengast, president and CEO of Securities America, has been nominated to serve a second term.
July 06, 2020
FINRA Slaps Cadaret Grant With $200K Fine Over Ex-Rep's 'Ponzi Scheme'The broker-dealer "failed to reasonably supervise" a broker's many undisclosed securities transactions, the regulator says.
July 02, 2020
Ex-LPL Rep Suspended by FINRA Over Unapproved Soccer Team InvestmentsThe former LPL broker solicited investors for private securities transactions, then tried to hide it from the firm, regulator claims.
July 02, 2020
FINRA Suspends Another Ex-First Standard RepThe former broker of the shuttered BD gets an 11-month suspension for excessive trading.
July 01, 2020
FINRA Suspends Ex-Cetera Rep Over Unauthorized Trucking InvestmentThe broker violated FINRA rules by participating in a $30,000 private securities investment without notifying the firm.