FINRA

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

Litigation

Former Broker Pleads Guilty to Filing False Tax Return

By Jeff Berman
Ex-Broker to Fork Up $3M Over Fintech Fraud

January 09, 2023

Ex-Broker to Fork Up $3M Over Fintech Fraud
NASAA Plans 2023 Push for Bad Actors Database

January 09, 2023

NASAA Plans 2023 Push for Bad Actors Database
Former Fidelity Broker Wins $500K in Wrongful Termination Case

January 03, 2023

Former Fidelity Broker Wins $500K in Wrongful Termination Case
FINRA Files to Provide 'Greater Transparency' to Arbitrator Selection Process

January 03, 2023

FINRA Files to Provide 'Greater Transparency' to Arbitrator Selection Process
FINRA Fines, Suspends Ex-Securities America Rep Who Impersonated Dead Client

December 30, 2022

FINRA Fines, Suspends Ex-Securities America Rep Who Impersonated Dead Client
FINRA Fines, Suspends Broker Who Hid Felony Charges

December 29, 2022

FINRA Fines, Suspends Broker Who Hid Felony Charges
Morgan Stanley to Pay $800K for Overcharging Clients

December 28, 2022

Morgan Stanley to Pay $800K for Overcharging Clients