FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines Webull Financial $4.2M Over AML, Identity Theft Failures
By Melanie WaddellThe firm didn't implement reasonably designed programs, the order states, and it must certify remediation of its deficiencies.
October 27, 2026
Ex-LPL Advisor Accused of $11M Ponzi SchemeWilliam Bernard Tunink was indicted on 10 counts of wire fraud for the alleged scheme, which resulted in $2 million investor losses.
October 23, 2026
7 Top SEC Exam Priorities for 2027An "explicit focus on fraud detection and bad actors" is absent from the just-released list, lawyer Nick Morgan says.
October 23, 2026
Barred Advisor Pleads Guilty to $3.3M Fraud Against LPL, Fidelity, TD AmeritradeAndrew Komarow pleaded guilty to wire fraud, which carries a maximum 20-year prison term, DOJ said.
October 22, 2026
FINRA Hits BD With $100K Fine Over Reg BI FailuresThe firm failed to detect and address red flags of excessive trading in three customer accounts, an order states.
October 22, 2026
Ex-LPL Advisor Charged With Wire FraudWilliam Bernard Tunink, now barred from the industry, defrauded more than 50 investors, Iowa prosecutors say.
October 21, 2026
5 Compliance Questions to Ask Before Choosing an AI PlatformFor RIAs and wealth firms, the burgeoning number of options can make vendor selection feel overwhelming.
October 20, 2026
SEC Approves FINRA Plan to Allow BDs to Market Performance ProjectionsThe change is modeled on the SEC Marketing Rule's requirements for hypothetical performance.