FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Cambridge Rep Gets 3-Year Prison Sentence for Stealing $472K From Clients
By Jeff BermanThe former broker pleaded guilty in September to second-degree theft by unlawful taking for scamming 24 investors.
February 02, 2022
FINRA Sets June 1 'Evaluation Date' for High-Risk FirmsOn this date, it will start the process of determining which of the 3,400 BDs it regulates should be labeled restricted firms.
January 25, 2022
FINRA Bars Ex-BofA Rep Accused of Forging Document, Taking Client FundsThe former broker and advisor trainee also failed to inform the wirehouse he was engaged in an outside business activity.
January 21, 2022
8 Top FINRA Priorities for 2022"A lot of exciting initiatives" are afoot at FINRA, says its CEO, Robert Cook.
January 20, 2022
Credit Suisse Hit With $9M FINRA FineThe infractions involved research reports and the Customer Protection Rule.
January 19, 2022
Compliance Group Releases CCO Liability FrameworkCompliance officers are concerned about several types of incidents in which they could be found personally liable, a survey found.
January 14, 2022
Merrill Wins $20M Arb Dispute Over American Airlines InvestmentsA FINRA panel ruled in favor of the wirehouse in a claim brought on behalf of a trust alleging negligence and breach of contract.
January 13, 2022
FINRA Bars Ex-Primerica Rep Accused of Faking CE Completion DocumentsThe Florida Department of Financial Services suspended the ex-broker for six months over the allegations in 2020.