FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines on Pace to Approach Financial Crisis Levels, Led by ‘Supersized’ Fines
By Melanie WaddellFines imposed by the Financial Industry Regulatory Authority in 2014 are poised to far outpace those reported by the regulator in 2013, according to an analysis released Aug. 1 by the law firm Sutherland Asbill & Brennan.
August 08, 2014
SEC, FINRA Enforcement: Reps Sold ETFs They Didn’t UnderstandIn other enforcement news, the SEC charged an energy firm and a stock promoter with defrauding investors about its oil reserves.
August 05, 2014
Battered Morgan Stanley Breakaway Advisor Fights BackBreakaway advisor James Eastman tells ThinkAdvisor how Morgan Stanley read his email and painted his compliance record when he tried to leave.
August 01, 2014
FINRA Move on Brokers' Expungement a Good First StepOver the past five years, state securities regulators have used the CRD and IARD public records to weed out more than 20,000 bad actors.
August 01, 2014
FINRA’s 5 Biggest Fine Categories in First Half of 2014Fines imposed by FINRA in 2014 are poised to far outpace last years, says a new analysis by the law firm Sutherland.
July 24, 2014
SEC OKs FINRA Rule on Expungement of Broker Black MarksThe rule helps to reduce FINRAs lack of transparency about a brokers complaint history, said investor lawyer Jason Doss.
July 17, 2014
FINRA Appoints Arbitration Task ForceFINRA appointed a 13-member arbitration task force Thursday to consider possible enhancements to its arbitration forum.
July 02, 2014
FINRA Enforcement: Goldman Fined $800,000 for Trade-Through FailuresIn other actions, Morgan Stanley was fined $100,000 on private wealth management failures.