FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Ex-Ladenburg Broker Accused of Forging Client Signatures
By Jeff BermanThe former broker for Ladenburg's Triad Advisors, now owned by Advisor Group, also refused to produce documents in a FINRA inquiry.
June 25, 2021
Merrill to Pay More Than $11M Over UIT RolloversOver 3,000 clients incurred potentially excessive sales charges in connection with early UIT rollovers, FINRA says.
June 22, 2021
FINRA Advances Senior Exploitation RuleThe rule would extend the hold period and allow temporary holds on securities transactions in cases of suspected financial exploitation.
June 21, 2021
FINRA Retiring OATS to Make Way for CATIt will be "interesting" to see how the change affects FINRA's enforcement program, ex-enforcement chief Susan Schroeder says.
June 21, 2021
FINRA Arbitrator Roster Becoming More DiverseThe regulator reported on the diversity of its arbitrators, officers and total workforce.
June 16, 2021
SEC, FINRA, NASAA Launch Senior Safe Act Training ProgramThe program can be used for training on how to detect, prevent and report financial exploitation of senior and vulnerable adult investors.
June 15, 2021
Excited About SEC's New Ad Rule? Not So FastAdvisory firms are itching to use testimonials before their compliance departments are ready.
June 11, 2021
Ex-LPL Broker Faces Up to 20 Years in Prison for Raiding Clients' AnnuitiesThe former broker has been charged with three counts of wire fraud, one count of mail fraud and one count of aggravated identity theft.