FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA, Amazon Strike Cloud Deal for Market Surveillance
By Janet LevauxThe Consolidated Audit Trail processes about 100 billion market events each day at 22 stock exchanges and 1,500 broker-dealers.
November 26, 2019
FINRA Bars Ex-LPL Broker Over Outside Business ActivitiesThe rep provided an elderly client bill-paying services for a fee, according to FINRA.
November 26, 2019
A Broker Impersonated His Client … Twice. It Didn't Go Well.The client wanted his annuity withdrawals reduced and told the broker to "get it done."
November 22, 2019
11 Nifty Holiday Gifts for Clients Under $100 (Sorry, FINRA)Advisors can buy these gifts to make an impression on your clients without running afoul of FINRA's gifting limit.
November 22, 2019
FINRA Suspends Ex-NYLife Securities Broker After Flurry of LiesThe rep made false statements to the firm on multiple questionnaires concerning private securities transactions, FINRA says.
November 22, 2019
FINRA Bars Ex-Commonwealth Rep Accused of FraudThe former broker was accused of forgery and wrongful taking of property.
November 21, 2019
FINRA Censures NYLife Securities Over 'Higher-Risk' Fund SalesThe firm has also been slapped with a $250,000 fine.
November 21, 2019
FINRA Suspends Ex-Baird Broker Over $200K in Unapproved TransactionsIn addition to a 5-month suspension, the broker has been slapped with a $10,000 fine.