FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Will an Ex-Fidelity Advisor's Reg BI Suit Catch the SEC's Eye?
By Dinah Wisenberg BrinThe case could have implications for the broader financial services industry, lawyers say.
May 30, 2024
Here's What Makes a Rep High Risk: FINRAThere are several warning signs and ever-evolving methods of spotting them, according to FINRA officials.
May 29, 2024
FINRA Fines Thrivent $325K Over Forged E-SignaturesAt least 15 Thrivent reps electronically signed customer names on over 260 documents since 2017, FINRA says.
May 28, 2024
Fidelity Seeks More Time to Answer Whistleblower SuitFidelity seeks more time to answer a suit alleging it put profits over clients' best interests.
May 24, 2024
FINRA Suspends Rep for Violating Reg BI With L Bond SalesThe rep told a client to invest a large share of her assets in a speculative debt security, FINRA says.
May 23, 2024
FINRA Seeks to Ease Worries on New Home Office RulesSome BDs are incorrectly saying their workers will be required to return to the office full time, FINRA says.
May 21, 2024
FINRA Sanctions Firm, CEO for Reg BI ViolationsCEO Yong Soo Kim, who is also the firm's chief compliance officer, was suspended for two months.
May 20, 2024
Ex-Advisor Who Lied About Attempting Suicide Gets 3.5 Years for Bilking ClientThe client faced home foreclosure after the advisor failed to make mortgage payments as promised, the DOJ says.