FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Barred Broker Who Did Merrill Stint Indicted in $100M Crypto Scam
By Jeff BermanJoshua David Nicholas and two other defendants were charged with conspiracy to commit wire fraud and securities fraud.
June 30, 2022
Expect 'Deeper Dive' Reg BI Exams in 2022: FINRA ExecFirms can expect that FINRA will "be doing deeper dives with respect to the standard of care obligation."
June 30, 2022
Here's How FINRA Spent Its 2021 Fine MoneyIn 2021, FINRA enhanced BrokerCheck, the Fund Analyzer and created new, virtual events.
June 29, 2022
In Wells Fargo Case, FINRA Didn't Manipulate Arb Process: Independent ReviewThe review recommended, however, that FINRA increase transparency in the arbitrator selection process.
June 28, 2022
Citi Ordered to Pay Ex-Broker $1.4M in Gender Discrimination CaseA FINRA arb panel ruled in favor of a former broker who sued Citigroup, claiming discrimination and retaliation.
June 23, 2022
FINRA Says National Securities Corp. Must Pay $9MThe fines, disgorgement and restitution are due to misconduct tied to 10 public offerings and other violations.
June 21, 2022
FINRA Releases Restricted Firm Compliance ToolBDs can use the tool to determine whether they meet the preliminary criteria to be designated as a restricted firm.
June 02, 2022
Merrill to Pay Clients $15M for Share Class ViolationsFINRA ordered the firm to pay restitution and interest to thousands of customers related to Class C shares sold over a six-year period.