FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-LPL Rep Suspended for Allegedly Sending Client Data to Wife
By Melanie WaddellThe broker then forwarded the data to a contact at LPL, his prospective employer at the time, FINRA says.
June 13, 2024
FINRA Slaps Rep for Texts, LinkedIn MessagesThe rep exchanged more than 1,000 business communication outside allowed channels, FINRA says.
June 10, 2024
FINRA Slaps BD With $250K Finfluencer FineInfluencers paid by TradeZero America made exaggerated claims on the firm's behalf, FINRA says.
June 06, 2024
Ex-Broker Charged With Bilking at Least 17 Clients in $2.7M FraudJared Dean Eakes gained access to the clients by buying books of business under false pretenses, prosecutors say.
June 03, 2024
Morgan Stanley Loses Another FINRA Fight Over Deferred CompThe order comes as the firm seeks court intervention in a saga involving deferred compensation "clawback" litigation.
May 31, 2024
Will an Ex-Fidelity Advisor's Reg BI Suit Catch the SEC's Eye?The case could have implications for the broader financial services industry, lawyers say.
May 31, 2024
Leaders Need 'Micro-Knowledge' to Achieve Big Goals"Dig in and spend time with your teams," advises Jackson's Scott Golde, Luminaries winner for executive leadership.
May 31, 2024
FINRA's New Home Office Rules Are Causing Headaches for BDsRegulatory attorney Russell Sacks chronicles the compliance challenges as the residential supervisory location rule takes effect.