FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Hits Another BD With Reg BI-Related Fine
By Melanie WaddellNetwork 1 Securities did not establish, maintain and enforce a supervisory system to comply with Reg BI's care obligation.
August 21, 2023
FINRA Names New Enforcement ChiefBill St. Louis succeeds Jessica Hopper, who stepped down in February.
August 18, 2023
Ex-Broker Gets Life in Prison for Crimes Tied to Death of ClientKeith Todd Ashley was found guilty of fraud and a gun charge; a murder case is pending.
August 16, 2023
FINRA Says Video Conferences Now a Permanent Hearing OptionVideo conference hearings will be allowed for disciplinary and enforcement hearings under certain conditions.
August 16, 2023
FINRA Adopts Stricter Expungement RulesRequests for "straight-in" expungements will now have to be heard by a special roster of arbitrators.
August 11, 2023
Ex-LPL Broker Gets 4 Years in Prison for Raiding Older Clients' AnnuitiesOne affected client had dementia and another had suffered a traumatic brain injury, according to the Justice Department.
August 08, 2023
Former LPL, Raymond James Reps Slammed by FINRA for Falsifying DocumentsTwo ex-reps forged clients' signatures, and one provided falsified checks and bank statements to regulators, FINRA said.
August 08, 2023
FINRA Lists Ric Edelman's Digital Asset Certificate as Professional DesignationFinancial professionals who complete the 15-credit course can now display the CBDA credential.