FINRA

Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.

LPL Fined $3M for Failing to Investigate Red Flags, Supervise Reps

July 26, 2023

LPL Fined $3M for Failing to Investigate Red Flags, Supervise Reps
Ex-LPL Broker Suspended for Teaching Online Courses

July 25, 2023

Ex-LPL Broker Suspended for Teaching Online Courses
JPMorgan Broker Suspended for Not Disclosing Kidnapping Charges

July 17, 2023

JPMorgan Broker Suspended for Not Disclosing Kidnapping Charges
Merrill, BofA Fined $12M for Suspicious Activity Report Failures

July 11, 2023

Merrill, BofA Fined $12M for Suspicious Activity Report Failures
FINRA Sends More Remote Office Updates to SEC

July 10, 2023

FINRA Sends More Remote Office Updates to SEC
FINRA Posts $218M Loss for 2022

July 03, 2023

FINRA Posts $218M Loss for 2022
SEC Has No Way to Track RIA Arbitration Stats, Unpaid Awards

June 29, 2023

SEC Has No Way to Track RIA Arbitration Stats, Unpaid Awards
Ex-Merrill Rep Who Threw Smoothie Hit With FINRA Complaint on Cash Transactions

June 28, 2023

Ex-Merrill Rep Who Threw Smoothie Hit With FINRA Complaint on Cash Transactions
Here's What a 'Trusted Contact' Is, and Isn't: FINRA Exec

June 28, 2023

Here's What a 'Trusted Contact' Is, and Isn't: FINRA Exec
Emojis Could Prompt a Customer Complaint, FINRA Exec Warns

June 20, 2023

Emojis Could Prompt a Customer Complaint, FINRA Exec Warns