FINRA Hits BD With $100K Fine Over Reg BI Failures
By Melanie WaddellThe firm failed to detect and address red flags of excessive trading in three customer accounts, an order states.
July 28, 2026
BD Fined $70K Over Reg BI Violations, Annuity Switches: FINRAThe Logan Group, an order states, failed to collect and consider client information related to recommended deferred variable annuities.
July 24, 2026
FINRA Suspends Ex-Morgan Stanley Rep Over Options Trades, TextingOne client couple lost almost $400,000 as the broker generated $62,000 in commissions, according to the regulator.
June 09, 2026
Growth in Dual Registrants Makes Sense: FINRA CEORobert Cook talked with FSI's Dale Brown about the convergence of the BD and IA models.
June 04, 2026
Rep in Hot Water Over Annuity Rider, Reverse Mortgage RecommendationsClayton K. Shum also engaged in undisclosed outside business activities and disclosed clients' personal information, FINRA states.
June 04, 2026
What the BD Industry Looks Like Now, in 6 ChartsThe number of reps rose for the fourth straight year as the number of firms continued to fall.
May 21, 2026
Reg BI and New Product Best Practices: What BDs Should KnowTed Luecke, examination director at FINRA, offers tips on how BDs can stay compliant while bringing on new products.
May 19, 2026
BD Fined $100K Over Deferred VA ExchangesWorld Investments failed to supervise recommendations of annuity switches, FINRA finds.