FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Rep Suspended for Execessive Trades in Senior Clients' Accounts, Violating Reg BI
By Melanie WaddellThe Spartan Capital rep made the trades in the accounts of two 66-year-old clients, leading to significant losses.
August 01, 2025
Ex-Fidelity Advisor Charged With Fraud, Money LaunderingThe ex-Fidelity advisor took more than $2 million from a former client to travel, pay debts, DOJ says.
July 31, 2025
Ex-Amerprise Rep Barred for Taking $2.2M From ClientsThe rep, who started in the business in 1994, said he was borrowing money from two of his customers — one age 77.
July 30, 2025
Ex-Raymond James Advisor Barred Over Probe Tied to Elderly ClientsAfter 26 years in the business, Meredith Archer failed to testify about whether she misappropriated client assets.
July 29, 2025
In Rare Move, SEC Overturns a FINRA Bar Over Test-TakingAn SEC decision to reduce the rep's bar to a suspension is raising eyebrows.
July 28, 2025
7 Ways Advisors Stand Out as ProfessionalsWith significant education, training and accountability, wealth managers are more than just salespeople.
July 28, 2025
Ex-Commonwealth Rep Lied About CE: FINRAFrancis Smith, now at Cambridge, was fined and suspended for having someone else complete his CE requirements.
July 28, 2025
FINRA Bars Ex-Northwestern Mutual Employee Over Faked Exam ScoreWillnard Love lied to his firm about passing the Securities Industry Essentials exam, the regulator found.