FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Takes a Hard Look at Its Enforcement Program
By Melanie WaddellThe review, conducted with outside experts, is aiming for "meaningful, common-sense improvements."
July 22, 2025
Former Broker Accused of Running $9.5M Ponzi SchemeThe former broker purportedly retired after a 2014 suspension but kept soliciting investments, fraudulently, prosecutors allege.
July 22, 2025
House Passes Accredited Investor Bill Calling for FINRA ExamThe bill would let individuals take an exam in order to qualify for private investment opportunities.
July 17, 2025
FINRA Bars Ex-Stifel Advisor Linked to $132M Arb AwardChuck A. Roberts, the subject of several client complaints, refused to appear for on-the-record testimony.
July 15, 2025
BD Fined $100,000 for Failing to Review Reps' Instant MessagesInvestment Placement Group didn't reasonably supervise use of an approved messaging platform, FINRA said.
July 14, 2025
Stifel Advisor Linked to $132M Arb Award Has Left the FirmArbitration awards and judgments involving Chuck Roberts exceed $166 million, his FINRA BrokerCheck record shows.
July 10, 2025
Merrill Ordered to Pay Clients Nearly $3.7M Over PE Investments“This is the largest FINRA customer award against Merrill Lynch this decade," the clients' lawyer said.
July 09, 2025
Jefferies Advisor in Miami Barred by FINRAThe former wealth advisor refused to provide the regulator with information it had requested.