FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Broker Accused of Trading in Dead Client's Account
By Melanie WaddellJohn Polemis also took $28,000 in loans from the client and didn't repay him, FINRA alleges.
May 14, 2026
Reg BI Cases Keep IncreasingFINRA brought more actions in 2025 than in previous years, an exec details at its annual conference.
May 13, 2026
FINRA Enforcement Review to Conclude by End of JuneFINRA will put out a public report on the findings of the review, CEO Robert Cook says.
May 12, 2026
E-Delivery Rule Will Be 'Broader': SEC ChiefThe SEC's e-delivery approach will apply across BDs and investment advisors, Atkins said at FINRA's annual conference.
May 11, 2026
Widow Wins $1.2M From UBS Over Annuity, Margin LoanThe advisor's recommendations and management style resulted in the client "essentially breaking even" over 11 years, her lawyer says.
May 06, 2026
FINRA Is Giving BDs a Heads-Up About ExamsBroker-dealers can also receive test findings earlier, officials with the regulator note on a recent podcast.
May 06, 2026
Oppenheimer in Hot Water for Miscategorizing CMOs: FINRAThe firm was fined $250,000 for identifying securities from private entities as government agency bonds.
May 01, 2026
Cambridge Fined $200K for Failing to Quash UIT TradingA rep's costly recommendations violated Reg BI, a FINRA order states.