FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Gives SEC More Time on Gift Limit Boost
By Melanie WaddellFINRA has proposed to increase the value limit on gifts by a registered person to $300.
December 04, 2025
Barclays Fined $325K for Failing to Supervise Outside Brokerage AccountsThe BD lacked procedures to collect and review employee-held outside account statements for prohibited trading, FINRA said.
December 03, 2025
Osaic to Pay $3M Over Mutual Fund Switches at Securities AmericaThe BD failed to supervise Class A fund switches, leaving customers with $2 million in fees, FINRA said.
December 01, 2025
Ex-Broker, State Lawmaker Pleads Guilty to Role in Extortion ConspiracyChristopher Ziogas, a former Connecticut representative who most recently worked at Kestra, has been barred by FINRA.
November 26, 2025
Ex-UBS Rep Suspended, Fined for Exceeding Personal Credit Card LimitTimothy R. Jones circumvented firm systems to go over his authorized limit, FINRA states.
November 25, 2025
Ex-Wells Fargo Rep Violated Reg BI With Options: FINRAJames Eugene Holmes also traded in at least five customers’ accounts without prior authorization, the regulator states.
November 19, 2025
Ex-LPL Rep Suspended, Fined Over Trades in Deceased Client's Daughters' AccountsThe rep placed unauthorized trades once the accounts were funded with the proceeds from their father's estate, FINRA says.
November 19, 2025
Barred Advisor Gets 3-Year Sentence for Bilking Friends, Relatives Out of $3MRobert C. Starnes, who took more than a dozen people's retirement savings, also must pay restitution.