FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Reg BI Enforcement Actions Coming Soon, ex-FINRA Enforcement Chief Says
By Melanie WaddellA preview of Human Capital's interview with former FINRA enforcement chief Susan Schroeder.
March 03, 2021
FINRA Bars Ex-LPL Rep Accused of Investing Client's Money in Ponzi SchemeThe former broker allegedly moved a client's IRA to a different administrator and used forged documentation to invest the money.
March 01, 2021
FINRA Fines Ex-Morgan Stanley Rep Over Inaccurate Meal Expense ReportsThe advisor sued Morgan Stanley for wrongful termination.
February 23, 2021
FINRA Fines BD Over Handling of CEO Email HackThe CEO, who was also the firm's chief compliance officer, ignored suspicious notifications for about four months, FINRA says.
February 23, 2021
FINRA Bars Ex-Wells Fargo Rep Over Private Securities TransactionsThe firm's former broker allegedly solicited clients to invest in a software company he was invested in, FINRA says.
February 19, 2021
Ex-Merrill Rep Barred for Keeping $100 Found at ATM: FINRAThe former broker and advisor was terminated by the firm in late 2019.
February 03, 2021
FINRA Targets 'Game-Like' Digital PlatformsAsked if it was concerned about potential FINRA sanctions, MassMutual says it's reviewing "Roaring Kitty" GameStop trading activity.
January 25, 2021
FINRA Starts Probe of Reps' PPP Loans"FINRA is proactively looking at registered representatives that obtained loans through undisclosed outside business activities," a FINRA spokesperson said.