FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Panel Awards $11.4M After First Arb Hearing via Zoom
By Jeff BermanWunderlich Securities was ordered to pay Dominick & Dickerman and an exec at the investment firm.
April 27, 2020
Reg BI, Form CRS 'Show Must Go On!'The SEC will be mindful of coronavirus disruptions as it presses ahead with June 30 compliance date.
April 27, 2020
Get Ready for Wave of Client Complaints, Compliance IssuesThere should be a surge in customer complaints and securities arbitration filings tied to this year's "Corona Crash."
April 24, 2020
FINRA Is on a Hiring SpreeFINRA's new virtual onboarding initiative, "FINRA in a Box," was launched in March to get new workers set up at home.
April 24, 2020
FINRA Wants IAR Info to Be Available on BrokerCheckThe SEC's investment advisor database recently added BrokerCheck info.
April 20, 2020
FINRA Postpones In-Person Arbitration HearingsFINRA is also waiving postponement fees on hearings through Sept. 4.
April 15, 2020
Morgan Stanley Wins Nearly $2M in FINRA Arb DisputeThe firm had sought $1.5 million it said an ex-advisor owed from promissory notes, plus fees.
April 14, 2020
FINRA Bars Ex-Morgan Stanley Rep for Not Cooperating With InquiryThe broker was fired by the wirehouse as it reviewed a mortgage deed execution she was involved in.