FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Suspends Ex-LPL Rep Over Risky REIT Investments
By Jeff BermanThe former broker inflated his elderly customers' net worth in REIT applications, the regulator says.
May 07, 2020
Wunderlich Challenges FINRA Arb Award After Zoom HearingArbitrators were "inattentive" during the March 12 virtual hearing, the firm said in a petition to vacate the $11 million award.
May 06, 2020
FINRA Announces Reduced-Fee Mediation ProgramParties can use remote mediation at significantly reduced fees through Aug. 31.
May 05, 2020
FINRA Suspends Ex-LPL Rep Who Solicited Soccer Team InvestmentsThe broker also engaged in two outside business activities, according to FINRA.
May 04, 2020
FINRA Warns of Email Phishing ScamThe scam involves fraudulent emails that claim to be from FINRA officers.
May 01, 2020
FINRA COVID-19 Fraud Task Force Has Referred 50 Potential Scams to SECFINRA has hired Greg Ruppert, formerly of Schwab, to spearhead its COVID-19 fraud task force.
May 01, 2020
FINRA Slams Ex-Ameriprise Rep Who Misappropriated Client's FundsThe broker was terminated after allegedly converting more than $42,000 of an elderly client's funds for his own use.
April 30, 2020
FINRA Bars Ex-Woodbury Rep After Inquiry Based on a TipThe broker had been permitted to resign from the firm after engaging in unapproved outside business activity.