FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA's Top 5 Fine Categories in 2019
By Melanie WaddellThe numbers indicate "a kinder and gentler FINRA — at least temporarily," Eversheds Sutherland's Brian Rubin says.
February 28, 2020
FINRA Arb Panel Slams BD Over Bad Investments for Elderly ClientA Chicago firm was ordered to pay damages plus the claimant's costs.
February 28, 2020
FINRA Files Complaint Against Ex-Rep Who Didn't Testify Against BDA former LevelX Capital broker ignored regulators' repeated requests.
February 28, 2020
Barred Broker Challenges FINRA's Right to Boot Him; Legal Experts SkepticalAn ex-broker is arguing to an appeals court that FINRA doesn't have the authority to permanently bar reps.
February 26, 2020
FINRA Sanctions Rep for Messaging Clients on WhatsAppThe Aegis Capital broker conducted securities-related business with the unapproved app, FINRA says.
February 21, 2020
FINRA Bars Ex-Fidelity Rep Who Refused to TestifyThe broker was terminated for alleged personal trading and related conduct involving a penny stock.
February 21, 2020
FINRA Launches Exam Sweep of No-Commission BDs"FINRA is conducting the targeted examinations with a variety of firms," a spokesperson said Friday morning.
February 20, 2020
FINRA Bars Ex-Rep Who Took Money From ClientsThe broker told clients he was investing their money in a celebrity brand marketing company, FINRA said.