FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Suspends Ex-Thrivent Rep Who Worked at Animal Hospital
By Jeff BermanThe broker had multiple side gigs, according to FINRA.
February 10, 2020
FINRA Issues RMD Alert on Secure Act ChangesThe updated investor alert explains some "tricky" new requirements, specifically if a variable annuity is held in an IRA.
February 06, 2020
FINRA's Website Experiencing Search ProblemsFINRA says of its website that it has "more work to do, and that work remains well underway."
February 03, 2020
Ex-Northwestern Mutual Rep Suspended for Not Disclosing Child Sex Abuse ChargesThe former broker was charged with three felonies in Michigan, FINRA says.
February 03, 2020
FINRA Fines Wells Fargo Over Rep Who Churned in Elderly Client's AccountsWells Fargo didn't respond appropriately to red flags on the 88-year-old's account, FINRA says.
February 03, 2020
FINRA Plan Would Allow Capital Acquisition Brokers to Register as AdvisorsCABs could register as investment advisors if the advisory services are provided only to institutional investors.
January 28, 2020
FINRA Suspends 2 Reps Who Blundered With Elderly ClientsOne broker allegedly borrowed $150,000 from a 90-year-old client, while the other made unsuitable investments.
January 27, 2020
FINRA Fines Another Ex-First Standard RepThe ex-broker "engaged in quantitatively unsuitable" trading in an elderly client's account, the regulator says.