FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Seeks Comments on Rule Requiring Complaints, Arb Claim Reports
By Melanie WaddellFINRA is seeking comments on which data BDs should be required to report.
January 07, 2020
FINRA Bars Brokers Accused of ForgeryThe advisors then failed to cooperate with regulators' investigations into their behavior, FINRA says.
January 06, 2020
FINRA Hits Merrill Over Muni SalesThe firm made 105 customer transactions in a municipal security at amount lower than the minimum denomination, FINRA says.
January 03, 2020
FINRA Bars Brokers Who Wronged Elderly ClientsThe advisors then failed to cooperate with regulators' investigations into their behavior, FINRA says.
December 31, 2019
TD Ameritrade Fined $250K for Options IssuesFirm allegedly mismarked some 1.5 million options orders sent to exchanges, resulting in about 500,000 mismarked orders.
December 30, 2019
Oppenheimer to Pay $4.7M Over Early UIT RolloversFINRA ordered the firm to pay a fine and restitution.
December 27, 2019
FINRA Bars Ex-J.P. Morgan Broker Who Allegedly Stole From Co-WorkerThe advisor was accused of making unauthorized transactions on a colleague's credit card.
December 27, 2019
FINRA Bars Bitcoin-Bewitched BrokerThe advisor conducted unapproved business in Bitcoin, then refused to cooperate with an investigation, FINRA said.