FINRA

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

Ex-LPL Rep Pleads Guilty to Witness Tampering, Fraud

September 09, 2022

Ex-LPL Rep Pleads Guilty to Witness Tampering, Fraud
GOP Lawmakers Probe FINRA Chief on Complex Products Plan

September 08, 2022

GOP Lawmakers Probe FINRA Chief on Complex Products Plan
Oppenheimer Fights $37M Arb Ruling Tied to Ponzi Scheme

September 07, 2022

Oppenheimer Fights $37M Arb Ruling Tied to Ponzi Scheme
More States Adopt Advisor CE Requirements

September 05, 2022

More States Adopt Advisor CE Requirements
FINRA Hits Baird Over $100 Trading Commissions

September 02, 2022

FINRA Hits Baird Over $100 Trading Commissions
Key Aide to FINRA CEO Gets a Promotion

September 01, 2022

Key Aide to FINRA CEO Gets a Promotion
Barred Broker Sentenced to 7 Years for Fraud

August 29, 2022

Barred Broker Sentenced to 7 Years for Fraud
Leader of $310M Ponzi Scheme Involving Hundreds of Advisors Gets 10 Years in Prison

August 23, 2022

Leader of $310M Ponzi Scheme Involving Hundreds of Advisors Gets 10 Years in Prison
MassMutual BD Fined $250K, Ex-Broker Barred for Fraud

August 17, 2022

MassMutual BD Fined $250K, Ex-Broker Barred for Fraud
LPL Fined $300K Over Client-Reserve Errors

August 12, 2022

LPL Fined $300K Over Client-Reserve Errors