FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Fines Osaic Wealth, Securities America Over Cyber Breaches
By Melanie WaddellThe breaches compromised the personal data of more than 32,000 clients, FINRA says.
March 12, 2024
FINRA Suspends Ex-Rep Over Reg BI ViolationsThree clients experienced excessive and unsuitable trades that were not in their best interest, FINRA said.
March 07, 2024
FINRA Arbitration & Mediation: 6 Reasons to Do BothHere's an in-depth look at why you don't want to limit your advisory practice to only one method of dispute resolution.
February 26, 2024
Advisor Accused of Taking $1.6M Faces Wire Fraud ChargeProsecutors allege that the wealth manager misappropriated client funds, using them for her real estate business.
February 23, 2024
Ex-Broker Hit With Reg BI Fine, SuspensionA former Network 1 Securities rep recommended excessive trades in a 63-year-old client's account, FINRA says.
February 22, 2024
Broker Suspended After Raising Funds for Fitness BusinessThe suspended advisor raised over $10 million for his Texas company without employer approval, FINRA says.
February 21, 2024
FINRA Fines BD $75K for Email ViolationsIn one incident, a Ceros employee sent hundreds of clients' account data to their personal email, FINRA says.
February 16, 2024
10 Top Priorities for SEC and FINRA in 2024Here are the hottest topics among regulators this year, according to ACA Compliance Group.