FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Suspends Rep for Unsuitable Annuity Switches
By Melanie WaddellThe rep recommended that customers exchange their existing variable annuities for a higher-cost L-share contract.
April 30, 2025
FINRA Seeks to Streamline Reporting Rules on Outside ActivitiesSome advisors say the rule's new framework takes away some administrative burdens and adds others.
April 24, 2025
Advisor Who Left for Raymond James Breached Contract, TD AllegesAbout 30 clients with $48 million in assets left after Adam Bracy's departure, the bank says.
April 17, 2025
Ex-Morgan Stanley Rep Barred by FINRA for Alleged Profit-Sharing SchemeFINRA says Joseph Eisler secretly helped a client trade newly issued stock so he could profit from the arrangement.
April 15, 2025
FINRA Reevaluates Its Office CategoriesThe regulator is exploring the impact of new technology and hybrid work on how offices should be supervised.
April 08, 2025
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From WidowJohn Winslow is accused of taking over $920,000 from a client and trading gold coins to conceal it.
April 02, 2025
Ex-Morgan Stanley Advisor Sentenced to 12 Years in Fraud SchemeJesus Rodriguez of El Paso, Texas, spent clients' money on himself, including a Lamborghini purchase, authorities found.
April 01, 2025
BD to Pay $150K Over Reg BI, Form CRS FailuresThurston Springer's written policies discussed Reg BI in general terms and did not include procedures for delivering Form CRS.