FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Ex-Ameriprise Rep Who Was Fired Over Ethics Violations
By Jeff BermanThe ex-broker then stopped cooperating with regulator's investigation.
July 17, 2020
Ex-Wells Fargo FiNet Rep Suspended for Altering Docs, Using Private EmailThe then-advisor had clients sign incomplete documents so he could "fill in missing information," FINRA says.
July 16, 2020
FINRA May Modify Rulebook, Supervision in Light of VirusFINRA is considering the regulatory implications of a wave of brokers continuing remote work after the pandemic.
July 16, 2020
Ameriprise Sues Ex-Broker Over $748K FINRA Arb AwardThe rep was terminated by the firm in 2018 has yet to repay his promissory notes, the firm says in the lawsuit.
July 10, 2020
Reg BI Has Kicked In. Here's What FINRA ExpectsFINRA will institute a "good-faith" effort during exams, but Reg BI's principles-based approach leaves open questions.
July 09, 2020
FINRA Bars Ex-J.P. Morgan Rep Who Thumbed Her Nose at ProbeThe former broker allegedly used her personal email and phone to communicate with clients.
July 09, 2020
Morgan Stanley to Pay $875K Fine for Bad Trade DataThe firm submitted "at least 869 inaccurate blue sheets," according to FINRA.
July 08, 2020
Securities America's Nagengast Renominated to FINRA BoardNagengast, president and CEO of Securities America, has been nominated to serve a second term.