FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA's Top 5 Fine Categories in 2025
By Melanie WaddellTotal fines increased in 2025 while the number of cases fell, Eversheds Sutherland's analysis finds.
March 12, 2026
FINRA to Shorten Wait Times for Retaking ExamsThe regulator's board also approved a plan to provide parties with greater input into replacing arbitrators.
March 09, 2026
Ex-Morgan Stanley Rep Impeded Investigation: FINRAThe regulator was probing James Fredrick Tighe's firing over unauthorized transfers from a client account.
March 06, 2026
LPL, Advisor Team Must Pay $200K to Ameriprise: FINRAAmeriprise had accused a father-son team of taking confidential info as they left for LPL.
March 06, 2026
FINRA's Rulebook Revamp Takes a Beating at House HearingAn investor advocate accused the regulator of industry appeasement, while an industry lobbyist criticized the slowness of change.
March 05, 2026
FINRA to Publish Its Enforcement Manual — a FirstThe announcement by enforcement head Bill St. Louis was discussed during a House hearing Thursday.
March 05, 2026
Barred Advisor Charged With $3.3M Fraud Against LPL, Fidelity and TD AmeritradeA federal grand jury returned an 11-count indictment against Andrew Komarow.
March 04, 2026
Retired Teachers Win FINRA Fight With SchwabThirteen clients were awarded $3.8 million after claiming Schwab "concentrated their accounts in inappropriate holdings."