FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines Jefferies for Failure to Prevent Market Manipulation
By Jeff BermanThe firm allegedly lacked supervisory procedures and systems to stop more than 150,000 cases of manipulation.
December 12, 2019
FINRA Suspends Ex-UBS Broker Who Was Duped by HackerThe rep was fooled by an impersonator into wiring a client's money to third-party bank accounts.
December 09, 2019
Another Broker Impersonated Clients … 6 of Them. FINRA Wasn't Pleased.FINRA suspended and fined the former Investacorp rep after he impersonated customers in calls to Nationwide.
December 09, 2019
Troubled Atlanta BD Shuts DownThe news comes four months after it had "substantial losses" from unauthorized bond trades.
December 06, 2019
FINRA Bars Broker Who Hid Personal Financial ProblemsThe rep failed to provide documents and info FINRA requested during an investigation.
December 06, 2019
Ex-Raymond James Rep Suspended After Violating Trading RulesThe broker made securities transactions in his own account after becoming privy to confidential info, FINRA says.
December 06, 2019
Ex-Morgan Stanley Rep Suspended Over Unsuitable Muni Bond SalesThe broker incurred unnecessary fees by buying the funds in brokerage accounts and transferring them, FINRA said.
December 05, 2019
FINRA Suspends Goldman Rep for Bringing Phone to ExamIt was unclear whether she used the phone while taking the test.