FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Expels Firm After Chief Justice Denies Emergency Claim
By Dinah Wisenberg BrinThe expulsion of Alpine Securities, which is challenging FINRA's constitutionality, won't take effect unless the SEC upholds it.
March 18, 2025
Baird to Pay More Than $650K Over Unnecessary FeesBaird must reimburse customers and pay a $100,000 FINRA fine for violating Reg BI and other rules.
March 14, 2025
FINRA Seeks Feedback on Remote Work, Branch Office RulesFINRA is undertaking a broad review of its rules and is looking for feedback by May 12.
March 14, 2025
Stifel to Pay $132M Over Structured NotesA family lost more than 65% of their investment due to the use of leverage, their lawyer says.
March 13, 2025
FINRA’s Top 5 Fine Categories: 2024The $59 million in assessed penalties was down 35% from 2023, according to an analysis by Eversheds Sutherland.
March 08, 2025
Robinhood to Pay $26M to Settle FINRA AllegationsThe regulator said Robinhood failed to supervise social media influencers paid to tout the firm.
March 05, 2025
Ex-Raymond James Rep Made Unauthorized Trades in Older Client's Account: FINRAThe rep was suspended for three months and ordered to pay $23,000 for making 71 unauthorized trades.
March 03, 2025
LPL, Ex-Ameriprise Advisor Take a FINRA Hit in Recruiting BattleAn arbitration panel enjoined Douglas Kenoyer and said he wasn't entitled to Broker Protocol protections due to his conduct.