FINRA

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

CFP Board Sanctions Advisor Over Misleading YouTube Video Ad

January 17, 2023

CFP Board Sanctions Advisor Over Misleading YouTube Video Ad
Former Broker Pleads Guilty to Filing False Tax Return

January 10, 2023

Former Broker Pleads Guilty to Filing False Tax Return
Ex-Broker Gets Over 5 Years in Prison for $2.9M Securities Scheme  

January 10, 2023

Ex-Broker Gets Over 5 Years in Prison for $2.9M Securities Scheme  
4 Top FINRA Exam Priorities in 2023

January 10, 2023

4 Top FINRA Exam Priorities in 2023
Ex-Broker to Fork Up $3M Over Fintech Fraud

January 09, 2023

Ex-Broker to Fork Up $3M Over Fintech Fraud
NASAA Plans 2023 Push for Bad Actors Database

January 09, 2023

NASAA Plans 2023 Push for Bad Actors Database
Former Fidelity Broker Wins $500K in Wrongful Termination Case

January 03, 2023

Former Fidelity Broker Wins $500K in Wrongful Termination Case
FINRA Files to Provide 'Greater Transparency' to Arbitrator Selection Process

January 03, 2023

FINRA Files to Provide 'Greater Transparency' to Arbitrator Selection Process
FINRA Fines, Suspends Ex-Securities America Rep Who Impersonated Dead Client

December 30, 2022

FINRA Fines, Suspends Ex-Securities America Rep Who Impersonated Dead Client
FINRA Fines, Suspends Broker Who Hid Felony Charges

December 29, 2022

FINRA Fines, Suspends Broker Who Hid Felony Charges