FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Posts Life Settlement Guide for Consumers
By Allison BellThe organization warns of concerns but says policy sales might make sense for some.
July 26, 2023
LPL Fined $3M for Failing to Investigate Red Flags, Supervise RepsFINRA alleges that at least 50 LPL Financial registered representatives forged electronic signatures on over 1,000 documents.
July 25, 2023
Ex-LPL Broker Suspended for Teaching Online CoursesThe former broker had five outside business activities without LPL's approval according to FINRA.
July 17, 2023
JPMorgan Broker Suspended for Not Disclosing Kidnapping ChargesThe broker was charged with kidnapping a child and threatening a crime resulting in death or bodily injury.
July 11, 2023
Merrill, BofA Fined $12M for Suspicious Activity Report FailuresBank of America improperly set a reporting threshold of $25,000 instead of $5,000, the SEC and FINRA found.
July 10, 2023
FINRA Sends More Remote Office Updates to SECFINRA is adding more criteria to its Residential Supervisory Location plan.
July 03, 2023
FINRA Posts $218M Loss for 2022The loss was driven by investment performance, FINRA execs say.
June 29, 2023
SEC Has No Way to Track RIA Arbitration Stats, Unpaid AwardsA report commissioned by Congress reveals "an informational black hole" surrounding RIAs' use of arbitration, an attorney says.