FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Suspends Ex-Fidelity Rep Over Social Media Posts
By Melanie WaddellKevin Jenkins ran a company that posted unapproved finance-related content, according to FINRA.
October 15, 2025
More Rule Changes Coming: FINRA Chief"We're looking at a wide range of areas, again based on feedback from our members," Robert Cook says.
October 10, 2025
FINRA Attempt to Change Trading Rule May Cause More Risk: SEC RoundupFINRA will seek approval to lower the minimum account balance for frequent traders to $2,000 from $25,000.
October 09, 2025
FINRA Hits Ally Invest Securities With $850K Fine Over EmailsCoding errors and other technical failures in three systems caused the communications to be lost.
October 09, 2025
Ex-Wells Fargo Rep Deleted Texts, Impeded Investigation: FINRAEyan Townsend deleted business-related texts from his personal phone, according to the regulator.
October 09, 2025
Merrill Agrees to $9.5M Settlement With Retired Miami DolphinReshad Jones had accused his former advisor of stealing more than $2 million, along with other misconduct.
October 06, 2025
Orion Veterans Launch AI-powered Communication PlatformThe founders of Hamachi.ai include technology entrepreneurs Eric Clarke, Brian McLaughlin, Mike Wilson and Mustapha Baassiri.
October 06, 2025
Synovus Securities to Pay $315,000 Over E-SignaturesThe BD failed to detect red flags that four associated persons forged and falsified hundreds of signatures, FINRA says.