FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
House Passes Accredited Investor Bill Calling for FINRA Exam
By Melanie WaddellThe bill would let individuals take an exam in order to qualify for private investment opportunities.
July 14, 2025
Stifel Advisor Linked to $132M Arb Award Has Left the FirmArbitration awards and judgments involving Chuck Roberts exceed $166 million, his FINRA BrokerCheck record shows.
July 10, 2025
Merrill Ordered to Pay Clients Nearly $3.7M Over PE Investments“This is the largest FINRA customer award against Merrill Lynch this decade," the clients' lawyer said.
July 09, 2025
Jefferies Advisor in Miami Barred by FINRAThe former wealth advisor refused to provide the regulator with information it had requested.
July 02, 2025
Remote FINRA Inspections Raise Misconduct Risk: PIABAFully remote supervision and inspections of home offices would undermine investor protection, the attorney group says.
July 01, 2025
Rep Fined, Suspended for Not Disclosing Outside Business ActivityThe rep was a trustee to the estate of a deceased Cambridge customer without prior notice, FINRA says.
July 01, 2025
Ex-LPL Advisor Suspended After Family Named as Client's BeneficiariesA client designated the advisor's wife as primary beneficiary on six LPL accounts, FINRA says.
June 26, 2025
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: ProsecutorsStanley Pophal is accused of luring at least 120 investors to buy promissory notes in a $15 million scheme.