FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Slaps Cadaret Grant With $200K Fine Over Ex-Rep's 'Ponzi Scheme'
By Jeff BermanThe broker-dealer "failed to reasonably supervise" a broker's many undisclosed securities transactions, the regulator says.
July 01, 2020
FINRA Suspends Ex-Cetera Rep Over Unauthorized Trucking InvestmentThe broker violated FINRA rules by participating in a $30,000 private securities investment without notifying the firm.
July 01, 2020
FINRA: Broker Broke Into Former Firm's Office for FilesThe rep has not updated his Form U4 to disclose a related criminal charge, FINRA says.
July 01, 2020
FINRA Plans Fee Hikes for 2022 and BeyondThe fee increases will be phased in over several years, the regulator says.
July 01, 2020
Lawyers: GPB Capital Scam Bilked Investors Out of $1.8BThe law firm also filed a FINRA arb claim against SagePoint Financial on behalf of a client who invested in a GPB portfolio.
June 30, 2020
FINRA Elects Murray as Board ChairEileen Murray, former co-CEO of Bridgewater Associates, has held senior posts at Morgan Stanley and other firms.
June 29, 2020
Hightower Expects 'Material Revision' to $1.2M Set Aside for 529 Plan OverchargesThe firm said it would participate in FINRA's 529 Plan Share Class Initiative.
June 25, 2020
FINRA Suspends Ex-Wells Fargo Rep Over Crypto ConcealmentThe former broker was engaged in unauthorized cryptocurrency business activities, the regulator says.