FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ameriprise Advisor Arrested on Jan. 6 Riot Charges
By Dinah Wisenberg BrinLee Giobbie of New Jersey was arrested last week and charged with multiple felonies and misdemeanors.
February 01, 2024
Medicare Advantage Managers Start 2025 Rate-Setting ProcessAverage plan revenue per enrollee could grow faster next year.
January 26, 2024
Planner Accused of Buying House With $2M in Client FundsThe unregistered planner and an investment advisor received a cease-and-desist order in Indiana.
January 26, 2024
Voya Financial Advisors Gets FINRA Penalty Over Life SalesThe company resolved a case involving about $8.7 million in compensation.
January 24, 2024
New FINRA Home Office Rules Take Effect in JuneFINRA also set a launch date for a three-year pilot program for remote inspections.
January 23, 2024
BD Crypto Communications Not Up to Snuff: FINRAA report found that 70% of retail communications potentially violate a rule on fair and balanced interactions.
January 22, 2024
FINRA Suspends Broker Over Reg BI ViolationsThe broker engaged in quantitatively unsuitable trading in the accounts of eight clients, three of whom were seniors.
January 12, 2024
FINRA Sees Spike in 'Investment Group' Frauds on Social MediaBad actors are posing as RIAs online and pitching investments though encrypted group chats, the organization warns.