FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
TD Ameritrade Fined $250K for Options Issues
By Jeff BermanFirm allegedly mismarked some 1.5 million options orders sent to exchanges, resulting in about 500,000 mismarked orders.
December 27, 2019
FINRA Bars Bitcoin-Bewitched BrokerThe advisor conducted unapproved business in Bitcoin, then refused to cooperate with an investigation, FINRA said.
December 26, 2019
FINRA Fines 5 Big Firms for 'Know Your Customer' FailuresLPL, Merrill and Morgan Stanley were among the firms.
December 23, 2019
FINRA Hits Broker for Recommending Nontraded REITs, BDCs to SeniorsAdvisor violated FINRA rules in making "high-risk" investments for his elderly customers.
December 23, 2019
FINRA, Exchanges Blast Credit Suisse Over Failure to Prevent Market ManipulationThe firm was censured and fined $6.5 million.
December 17, 2019
FINRA, Exchanges Bar Brokerage Firm's Ex-CEO Over Failure to Prevent Market ManipulationLek Securities was also slapped with a $900,000 fine.
December 16, 2019
Merrill, Brokers Off the Hook for Foreign Investors' Losses: FINRA PanelTwo claimants deposited a "substantial amount of money" into a Merrill account with access to margin borrowing.
December 16, 2019
FINRA Seeks SEC OK on Rule to Align With Reg BIAnother rule would require BDs with a significant history of misconduct to maintain a segregated account with restricted withdrawals.