FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
SEC, FINRA Enforcement: Compliance Director Charged With Bilking Clients
By Marlene Y. SatterThe SEC also charged a New York securities lawyer with running pump-and-dump schemes out of his office.
May 13, 2015
Morgan Stanley Fined $2 Million Over Short-Sale ReportingBillions of shares in positions weren't fully disclosed over a six-year period, according to FINRA.
May 12, 2015
FINRA Doubles Length of Suitability Suspensions, Toughens Fraud SanctionsFINRA says it will be tougher on those committing fraud or making unsuitable recommendations and will increase suspensions for breaking suitability rules.
May 12, 2015
FINRA Arb Panel Grants $500K to Ex-Morgan Stanley RepThe advisor, now with FiNet, said the firm had pushed him out and tainted his reputation.
May 08, 2015
SEC, FINRA Enforcement: Former Wilmington Trust Officers Charged With FraudMeanwhile, FINRA censured, fined First New York Securities for inadequate insider trading procedures
May 06, 2015
LPL to Pay $12M FINRA Fine for Failing to Supervise SalesFINRA censured and fined LPL for broad supervisory failures involving sales of nontraditional ETFs, VA contracts and nontraded REITs.
May 01, 2015
SEC urged to beef up FINRA oversight: GAOSEC is falling short on supervision of the self-regulator in three areas.
May 01, 2015
SEC urged to beef up FINRA oversight: GAOSEC is falling short on supervision of the self-regulator in three areas.