FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Panel Orders Stifel to Pay $7M to Breakaway Advisors
By Dinah Wisenberg BrinThe award came the same week that the regulator ordered it to pay $132 million in another case.
March 14, 2025
Stifel to Pay $132M Over Structured NotesA family lost more than 65% of their investment due to the use of leverage, their lawyer says.
March 13, 2025
FINRA’s Top 5 Fine Categories: 2024The $59 million in assessed penalties was down 35% from 2023, according to an analysis by Eversheds Sutherland.
March 08, 2025
Robinhood to Pay $26M to Settle FINRA AllegationsThe regulator said Robinhood failed to supervise social media influencers paid to tout the firm.
March 05, 2025
Ex-Raymond James Rep Made Unauthorized Trades in Older Client's Account: FINRAThe rep was suspended for three months and ordered to pay $23,000 for making 71 unauthorized trades.
March 03, 2025
LPL, Ex-Ameriprise Advisor Take a FINRA Hit in Recruiting BattleAn arbitration panel enjoined Douglas Kenoyer and said he wasn't entitled to Broker Protocol protections due to his conduct.
February 28, 2025
Firm Hit With Reg BI Fine Over Private PlacementsFINRA fined Cova Capital Partners for recommending three private placements that weren't suitable for some investors.
February 14, 2025
Morgan Stanley Ordered to Pay $843,000 to Senior Scam VictimA FINRA arbitration panel found the company liable for failing to protect the 76-year-old widow.