FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Ex-LPL Rep Over Texting, Outside Business Activity
By Melanie WaddellDerek Lee Copeland participated in private securities transactions and exchanged over 2,250 business-related communications, FINRA found.
March 25, 2025
Barred Broker Charged in Alleged $1.24M Ponzi SchemeMarat Likhtenstein, who was fired from Osaic in 2024, now faces grand larceny charges.
March 19, 2025
FINRA Panel Orders Stifel to Pay $7M to Breakaway AdvisorsThe award came the same week that the regulator ordered it to pay $132 million in another case.
March 18, 2025
Baird to Pay More Than $650K Over Unnecessary FeesBaird must reimburse customers and pay a $100,000 FINRA fine for violating Reg BI and other rules.
March 14, 2025
FINRA Seeks Feedback on Remote Work, Branch Office RulesFINRA is undertaking a broad review of its rules and is looking for feedback by May 12.
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.