FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
September 28, 2023
FINRA Files to Extend Remote Inspections Into 2024The temporary relief would allow remote inspections to continue until June 30.
September 26, 2023
Former Football Star and Morgan Stanley Rep Gets FINRA PenaltyWilliam Donovan Ard, a onetime NFL guard, allegedly mismarked orders and used an unapproved cellphone for client communications.
September 22, 2023
Goldman Sent Inaccurate Data to the SEC on 163M TradesThe bank agreed to pay a $6 million fine.
September 22, 2023
5 Broker Behaviors That Should Raise a Red FlagFINRA is warning investors to be wary of certain behaviors by their brokers that can signal likely misconduct.
September 21, 2023
FINRA: Broker Barred After Investing $2M Without Firm's ApprovalHilltop Securities affiliate Momentum Independent Network fired the broker over the unapproved investments, FINRA said.
September 19, 2023
FINRA Boots Ex-Morgan Stanley Broker Accused of Fraudulent Fund TransfersThe former broker allegedly induced clients to transfer money for investments he never made.
September 08, 2023
FINRA Bars Ex-Schwab Broker for Taking Clients' Social Security ChecksThe former broker gave clients his own account number instead of theirs, FINRA said.
September 05, 2023
FINRA Hits Another BD With Reg BI-Related FineNetwork 1 Securities did not establish, maintain and enforce a supervisory system to comply with Reg BI's care obligation.
August 30, 2023
Ex-Morgan Stanley Exec Says He Was Fired for Being WhiteIn a lawsuit, Kevin Meyersburg alleges that the wirehouse replaced him with a less-qualified Black woman.
August 28, 2023
FINRA Issues Cybersecurity Alert Tied to FBI WarningThe warning involves threats to Barracuda Email Security Gateway appliances, including those with security patches.