FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Ex-Wells Fargo Rep
By Janet LevauxMichael Frew may have set up a Ponzi scheme involving 30 investors and a man named Guido.
May 27, 2014
Time to Rein In Rollovers?If youve been paying attention over the past year, youve noticed that regulators and those in Washington are placing increased scrutiny on IRA rollovers.
May 20, 2014
FINRA’s ‘Total Warfare’ Against Brokers in ArbitrationBreakaway brokers and pros across the financial industry cite biased panelists, missing hearing records and a 93% win rate for brokerages.
May 19, 2014
FINRA trade-surveillance system will be curbedFINRA, Wall Streets self-regulator, is changing the design of a trading-surveillance system that has drawn opposition from brokers.
May 19, 2014
FINRA trade-surveillance system will be curbedFINRA, Wall Streets self-regulator, is changing the design of a trading-surveillance system that has drawn opposition from brokers.
May 19, 2014
FINRA ‘Aggressively’ Seeking BD Feedback on CARDS: KetchumCEO Richard Ketchum defended the controversial automated data-collection system as an important investor protection tool but stressed that FINRA wanted to get it right.
May 08, 2014
Dale Brown, FSI’s Wrangler in Chief: The 2014 IA 25 ProfileThis is the eighth year that Dale Brown has been on the IA 25 list.
May 06, 2014
FINRA Fines Morgan Stanley $5M Over IPO Share SalesFINRA said Morgan Stanley had supervisory failures in initial public offerings for Facebook, Yelp and 81 others.