FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Morgan Stanley Reps Suspended After Making Misleading Statements
By Jeff BermanThe wirehouse terminated both brokers after they made misleading investment statements to clients and prospective clients.
May 10, 2022
5 Ways FINRA Will Spend Its Money This YearThe regulator projects a 5% decline in revenue this year on declining corporate filings and trading volume.
May 06, 2022
UBS Must Pay Clients $3.9M Over YES Options StrategyA FINRA arbitration panel ruled against the wirehouse in another dispute over its Yield Enhancement Strategy.
May 06, 2022
Edelman, Nadig Say FINRA Complex Product Ideas Are 'Unworkable,' TerrifyingFINRA's potential definition of complex products is so broad it could include target date funds, Dave Nadig says.
May 05, 2022
Barred Broker Gets Over 9 Years in Prison for $100M Ponzi SchemeThe former broker was convicted of bilking more than 40 investors.
May 04, 2022
FINRA Wants to Make It Harder for Brokers to Clear Their RecordsFINRA found its arbitrators granted 78% of requests for expungement, which is supposed to be an "extraordinary" remedy.
May 02, 2022
What the Broker-Dealer Industry Looks Like Now, in 5 ChartsFINRA has released its 2022 Industry Snapshot.
April 29, 2022
Ex-Cetera Broker Gets $3M in Damages for Wrongful TerminationIn a FINRA arbitration case, the rep accused the firm of wrongfully terminating him in 2019.