FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Bars Ex-Rep Who Took Money From Clients
By Jeff BermanThe broker told clients he was investing their money in a celebrity brand marketing company, FINRA said.
February 19, 2020
FINRA Suspends Ex-Merrill Rep Over Unauthorized TransactionsThe former broker signed 15 subscription agreements with a third-party advisor, the regulatory group says.
February 18, 2020
FINRA Suspends Ex-Thrivent Rep Who Worked at Animal HospitalThe broker had multiple side gigs, according to FINRA.
February 12, 2020
FINRA Bars Broker Tied to Woodbridge Ponzi SchemeA Forest Securities rep sold more than $3 million in notes related to a $1.2 billion Ponzi scheme.
February 12, 2020
FINRA Seeks to Close '$1 Expungement Case' LoopholeThe regulator would charge a minimum filing fee for expungement cases. But industry attorneys aren't impressed.
February 10, 2020
FINRA Issues RMD Alert on Secure Act ChangesThe updated investor alert explains some "tricky" new requirements, specifically if a variable annuity is held in an IRA.
February 06, 2020
FINRA's Website Experiencing Search ProblemsFINRA says of its website that it has "more work to do, and that work remains well underway."
February 03, 2020
Ex-Northwestern Mutual Rep Suspended for Not Disclosing Child Sex Abuse ChargesThe former broker was charged with three felonies in Michigan, FINRA says.