FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Wells Fargo Rep Deleted Texts, Impeded Investigation: FINRA
By Melanie WaddellEyan Townsend deleted business-related texts from his personal phone, according to the regulator.
October 06, 2025
Synovus Securities to Pay $315,000 Over E-SignaturesThe BD failed to detect red flags that four associated persons forged and falsified hundreds of signatures, FINRA says.
October 06, 2025
FINRA Suspends Ex-NY Life Rep Over Expense ReportsThe rep charged more than $4,000 in personal expenses to his corporate credit card, FINRA says.
October 03, 2025
FINRA Panel Upholds Advisor Penalty Over Retiree's Ex-Wife Draining IRAThe client denied authorizing his former spouse to order trades.
October 02, 2025
Rep in Hot Water Over Annuity Swaps in Senior Clients' AccountsFINRA has fined and suspended an Oakwood Capital rep for recommending seven unsuitable variable annuity exchanges.
October 02, 2025
6 Big FINRA Moves in 2025FINRA is tweaking a number of rules, including those around office supervision and gifting.
October 01, 2025
Judge Denies Merrill's Request to Restrain OpenArc Breakaway TeamMerrill sought to bar 12 advisors from soliciting its clients and from encouraging its employees to leave.
September 30, 2025
FINRA Issues Warning for Firms Outside the U.S.Even firms that operate abroad must respond to a FINRA request, the regulator says in a new notice.