FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Barred Broker Ordered to Pay $5.7M Over Cancer Treatment Scheme
By Jeff BermanA three-member FINRA arb panel ruled against the former broker.
November 18, 2022
Ex-J.P. Morgan Broker Barred by FINRA After Multiple Trading ViolationsEdward L. Turley was discharged by the firm and then refused to provide testimony during a FINRA investigation.
November 16, 2022
FINRA Launches Targeted Exam of BDs' Crypto Asset CommunicationsThe exam targets broker-dealer practices regarding retail communications concerning crypto asset products and services.
November 15, 2022
Jury Convicts Ex-Broker Who Lived Lavish Lifestyle Instead of Paying TaxesJames Millegan concealed millions of dollars from the IRS, according to court documents.
November 14, 2022
FINRA Bars Ex-Morgan Stanley Rep Who Steered Clients to Outside InvestmentsThe ex-broker recommended unapproved outside real estate investments to clients, FINRA said.
November 12, 2022
Ex-Broker Pleads Guilty To Stealing $500K From ClientsJennifer Campbell, 47, faces a maximum penalty of 20 years in prison and a $250,000 fine.
November 04, 2022
More Reg BI Cases in the Pipeline, FINRA Chief WarnsFINRA CEO Robert Cook urged firms to beef up their Reg BI compliance.
November 01, 2022
Graying Brokerage Industry Prompts Need for Succession Plans: FINRAA new regulatory notice encourages registered reps to have a succession plan in place.