FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Fidelity Fined $600K Over Employee Who Raided Stock-Plan Accounts
By Melanie WaddellThe firm failed to detect an associated person's conversion of $750,000 over eight years, FINRA said.
December 19, 2024
Schwab Seeks to Block Former Advisor From Soliciting ClientsThe firm wants to block its former advisor, Robert Van Ortega, from soliciting clients for his new RIA.
December 18, 2024
FINRA Awards $4.8M to Baird in Raymond James Poaching DisputeThe payments represent only a fraction of the $74 million in damages sought by the wealth management firm.
December 02, 2024
FINRA Explains How to Amend Form U4 Under Home Office RuleA response to the Residential Supervisory Location question is required.
November 27, 2024
More Than 60 Brokers Hit With FINRA Sanctions Over CE CheatingAnother individual completed the required training on the brokers' behalf, FINRA says.
November 25, 2024
Ex-LPL Rep Let Business Partner Sign for Customers: FINRABrenton Charles Schmidt signed the documents after his business partner signed for the customer, according to the regulator.
November 19, 2024
FINRA Fines CUNA Brokerage Services Over Deleted Rollover RecordsThe BD inadvertently deleted 14,000 records, violating Reg BI, FINRA says.
November 13, 2024
FINRA Files to Raise Fees Starting in 2025The median large firm would pay an extra $415,000 a year by 2029.