FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Hits BD With $500k Fine Over Texting
By Melanie WaddellIt also suspended the firm's CEO for not preserving and checking 10,900 text messages sent or received by 27 associated persons.
April 04, 2024
Get Ready! FINRA's New Home Office Rules Are Nearly HereThe new rules "will be key in defining ... how firms conduct branch office inspections," says ACA Group's Patrycja Savignano.
March 29, 2024
FINRA Hits BD With $250K Fine Over Emails, IMsH2C Securities failed to preserve and review over 1.25 million business-related electronic communications on four platforms.
March 26, 2024
Stifel to Pay $2.3M Over Sales of Complex ETFsThe reps' 'misuse' of the nontraditional funds caused clients to lose $1.3 million, FINRA says.
March 25, 2024
Morgan Stanley to Pay $3M in FINRA Arbitration Over Deferred CompAmounts of deferred compensation to be paid to former advisors range from about $70,000 to more than $600,000.
March 18, 2024
FINRA Levies First Enforcement Action in Finfluencers SweepM1 Finance will pay $850,000 over deceptive social media posts by influencers, FINRA says.
March 15, 2024
Advisor Accuses LPL of 'Raiding' His Firm in RetaliationThe wealth manager alleges that LPL retaliated after he started looking for another broker-dealer.
March 15, 2024
FINRA Fines Osaic Wealth, Securities America Over Cyber BreachesThe breaches compromised the personal data of more than 32,000 clients, FINRA says.