FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
5 Broker Behaviors That Should Raise a Red Flag
By Melanie WaddellFINRA is warning investors to be wary of certain behaviors by their brokers that can signal likely misconduct.
September 08, 2023
FINRA Bars Ex-Schwab Broker for Taking Clients' Social Security ChecksThe former broker gave clients his own account number instead of theirs, FINRA said.
September 05, 2023
FINRA Hits Another BD With Reg BI-Related FineNetwork 1 Securities did not establish, maintain and enforce a supervisory system to comply with Reg BI's care obligation.
August 30, 2023
Ex-Morgan Stanley Exec Says He Was Fired for Being WhiteIn a lawsuit, Kevin Meyersburg alleges that the wirehouse replaced him with a less-qualified Black woman.
August 28, 2023
FINRA Issues Cybersecurity Alert Tied to FBI WarningThe warning involves threats to Barracuda Email Security Gateway appliances, including those with security patches.
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.