FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Merrill Rep Who Threw Smoothie Hit With FINRA Complaint on Cash Transactions
By Jeff BermanJames Iannazzo deposited and withdrew $568,440 in small increments to avoid bank reporting requirements, FINRA says.
June 16, 2023
FINRA Exams Are Changing, Execs SayFINRA is conducting more on-site exams, but examiners will spend less time on-site.
June 16, 2023
Ex-LPL Broker Fined, Suspended for Not Disclosing Child Sex Abuse ChargeFINRA suspended the ex-broker for five months and fined him $5,000.
June 09, 2023
Ex-RBC, Ameriprise Broker Charged With Kidnapping Is Barred by FINRARBC fired Scott Matalon after he was arrested; the bar stems from a client complaint at Ameriprise.
June 09, 2023
TD Ameritrade Clearing Hit With $500K FineConfirmations sent to nearly 10 million clients did not disclose that the ETNs and preferred securities in question were in fact callable, FINRA said.
June 08, 2023
Ex-Morgan Stanley Advisor Pleads Guilty to Money LaunderingThe ex-broker took more than $1.5 million from two close relatives who were clients, the prosecutor said.
June 06, 2023
Ex-Edward Jones Rep Fined, Suspended for Texting Client DocsThe former advisor was suspended for 15 months and fined $15,000 by the regulator.
June 01, 2023
House Passes Bill to Require Accredited Investor ExamUnder the bill, the SEC would devise the exam and FINRA would administer it.