FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines Thrivent $325K Over Forged E-Signatures
By Melanie WaddellAt least 15 Thrivent reps electronically signed customer names on over 260 documents since 2017, FINRA says.
May 23, 2024
FINRA Seeks to Ease Worries on New Home Office RulesSome BDs are incorrectly saying their workers will be required to return to the office full time, FINRA says.
May 21, 2024
FINRA Sanctions Firm, CEO for Reg BI ViolationsCEO Yong Soo Kim, who is also the firm's chief compliance officer, was suspended for two months.
May 20, 2024
Ex-Advisor Who Lied About Attempting Suicide Gets 3.5 Years for Bilking ClientThe client faced home foreclosure after the advisor failed to make mortgage payments as promised, the DOJ says.
May 15, 2024
FINRA Debuts Remote Inspections Resource for Advisors, FirmsThe voluntary, three-year Remote Inspections Pilot Program starts on July 1.
May 14, 2024
FINRA Fines, Suspends Rep Over WhatsApp MessagesOne client he communicated with was his former brother-in-law, who complained of investing losses, FINRA said.
May 10, 2024
JPMorgan Asks Court to Halt Ex-First Republic Advisors' Recruiting Loan FightJPMorgan subsidiaries and 16 advisors are sparring over loans from the defunct bank tied to recruiting bonuses.
May 10, 2024
Merrill Lynch to Pay $825K Over Best Execution IssuesMerrill failed to reasonably supervise equity orders in the firm's electronic systems to ensure they were executed promptly, FINRA said.