FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Announces Reduced-Fee Mediation Program
By Melanie WaddellParties can use remote mediation at significantly reduced fees through Aug. 31.
May 01, 2020
FINRA COVID-19 Fraud Task Force Has Referred 50 Potential Scams to SECFINRA has hired Greg Ruppert, formerly of Schwab, to spearhead its COVID-19 fraud task force.
May 01, 2020
FINRA Slams Ex-Ameriprise Rep Who Misappropriated Client's FundsThe broker was terminated after allegedly converting more than $42,000 of an elderly client's funds for his own use.
April 30, 2020
FINRA Bars Ex-Woodbury Rep After Inquiry Based on a TipThe broker had been permitted to resign from the firm after engaging in unapproved outside business activity.
April 30, 2020
FINRA Bars Ex-Wells Fargo Rep for Not Cooperating With InquiryThe broker was being investigated for an investment-related customer complaint.
April 29, 2020
FINRA Panel Awards $11.4M After First Arb Hearing via ZoomWunderlich Securities was ordered to pay Dominick & Dickerman and an exec at the investment firm.
April 27, 2020
FINRA, NASAA to Launch Online Testing ServicePrometric, which administers FINRA exams, will supervise exams via the computer camera and other web tools.
April 27, 2020
FINRA Suspends Ex-State Farm Rep for Forging His Parents' SignaturesThe rep also falsified powers of attorney for his parents, who were clients, FINRA says.