FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
How One Investor Beat Robinhood in FINRA Fight
By Jeff BermanThe unprecedented victory will likely create a "headache" for Robinhood, law professor Benjamin Edwards says.
January 07, 2022
Robinhood Ordered to Repay Investor Hurt by Trading RestrictionsA FINRA arbitrator ruled in favor of an investor who alleged losses due to restrictions Robinhood placed on GameStop and other stocks last year.
January 06, 2022
FINRA Panel Slams Credit Suisse for Failing to Pay Deferred Comp to Ex-BrokersThe firm must pay $5.2 million in damages plus hefty interest payments.
December 29, 2021
FINRA Fines, Suspends Ex-Morgan Stanley Rep for Allegedly Hogging CommissionsThe rep was one of several brokers fired by the wirehouse over alleged abuses in its Former Advisor Program.
December 29, 2021
FINRA Keeps Its Business Continuity Rule IntactThe rule "has been effective at ensuring member firm preparedness for a wide range of potential business disruptions," says FINRA.
December 28, 2021
Ex-Waddell & Reed, NYLife Reps Sanctioned for Alleged ForgeryFINRA bars the former New York Life registered representative, while fining and suspending the ex-Waddell & Reed rep.
December 28, 2021
What's Next for Build Back Better, Form CRS and the New Fiduciary Rule?Greg Valliere, Ron Rhoades and Fred Reish weigh in on what lies ahead for new laws and rules coming out of Washington in 2022.
December 22, 2021
FINRA Fines Merrill $950K for Failing to Red-Flag Reps Stealing From ClientsTwo of the firm's reps stole over $6 million from 13 clients in separate schemes that ran for several years, according to FINRA.