FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
BD to Pay $600K Over Unapproved Messaging
By Melanie WaddellBTGI failed to reasonably supervise employees' use of unapproved communications platforms for business purposes, FINRA states.
March 18, 2026
FINRA Bars Rep for Cheating on SIE ExamThe rep looked at photos of study materials for the entry-level test on his phone, the regulator found.
March 18, 2026
FINRA's Top 5 Fine Categories in 2025Total fines increased in 2025 while the number of cases fell, Eversheds Sutherland's analysis finds.
March 17, 2026
Dynasty Argues It Can't Be Forced to Arbitrate Merrill Raid CaseDynasty disputes Merrill's contention it agreed to arbitration.
March 13, 2026
Ex-Merrill Advisor Gets Annuity Complaint ExpungedThree FINRA arbitrators said the customers "often made spurious complaints and quickly withdrew or dropped them."
March 12, 2026
FINRA to Shorten Wait Times for Retaking ExamsThe regulator's board also approved a plan to provide parties with greater input into replacing arbitrators.
March 09, 2026
Ex-Morgan Stanley Rep Impeded Investigation: FINRAThe regulator was probing James Fredrick Tighe's firing over unauthorized transfers from a client account.
March 06, 2026
LPL, Advisor Team Must Pay $200K to Ameriprise: FINRAAmeriprise had accused a father-son team of taking confidential info as they left for LPL.