FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Suspends Ex-Morgan Stanley Rep for Misusing Expense Account
By Jeff BermanThe advisor lent funds from her Automated Flexible Grid account to another employee, FINRA says.
March 30, 2020
SEC, FINRA Take Coronavirus MeasuresThe Securities and Exchange Commission and the Financial Industry Regulatory Authority announced several measures in mid-March in reaction to the coronavirus.
March 26, 2020
FINRA Shares 'Stay Home' Info From States, Cancels ConferenceThe regulator says more than 30 regions have issued "shelter-in-place" orders, which vary in scope and duration.
March 26, 2020
FINRA Fines Morgan Stanley $300K for Reporting ViolationsThe firm failed to report more than 1,000 fixed income transactions to TRACE, the regulator says.
March 24, 2020
Ex-Rep Wins FINRA Arb Case Against Morgan StanleyBut the award was much lower than what the broker had sought.
March 23, 2020
FINRA Extends Exam Window, Annual Report FilingFINRA recently released a FAQ in light of the coronavirus pandemic.
March 19, 2020
FINRA Bars Ex-Kestra Rep Who Refused to Testify in His Fraud CaseThe ex-broker was suspected of making fraudulent and unauthorized transactions in customers' accounts, the regulator says.
March 17, 2020
FINRA Suspends Ex-Merrill Rep for Cheating on Exams TwiceThe ex-broker was caught with notes during two separate industry exams less than a month apart, the regulator says.