FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC Extends Some Form ADV Deadlines; FINRA Cancels Events
By Melanie WaddellExtensions "provide additional time so affected funds and advisers can continue meeting the expectations of their investors and clients," SEC Chairman Clayton said.
March 10, 2020
FINRA Suspends Ex-Summit Rep for Altering DocumentsFirm had terminated rep after he filled in missing information from clients' documents and submitted them.
March 10, 2020
FINRA Suspends Ex-Morgan Stanley Rep Over Gunsmith BusinessThe rep failed to notify the firm of the "full nature" of his activity, FINRA says.
March 06, 2020
FINRA Suspends Ex-Lincoln Rep Tied to Woodbridge Ponzi SchemeThe former broker engaged in outside business related to Woodbridge despite Lincoln prohibiting him from doing so.
March 06, 2020
FINRA Panel Orders Missouri Firm to Fork Over $750KA rep for the firm, Huntleigh Securities, was accused of making unsuitable investments for a client.
March 06, 2020
FINRA's Top 5 Fine Categories in 2019The numbers indicate "a kinder and gentler FINRA — at least temporarily," Eversheds Sutherland's Brian Rubin says.
March 05, 2020
FINRA Suspends Ex-AXA Rep Over Secret SettlementThe rep was "permitted to resign" from the firm while being investigated over a customer complaint.
March 04, 2020
FINRA Bars Another Ex-Broker From Shuttered BD First StandardThe rep, like others from the firm, was accused of excessive trading.