FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Broker Gets 20 Years in Prison Over Ponzi, COVID-19 Fraud Schemes
By Jeff BermanChristopher Parris took $7.4 million in advance payments for N95 masks he knew he couldn't deliver.
December 14, 2022
Edward Jones Fined $1.1M Over Phone RecordsThe firm failed to produce complete and accurate records in connection with 10 investigations, FINRA alleged.
December 06, 2022
Advisor Group BDs Hit With $1.3M FINRA PenaltyThe firm's BDs "negligently failed" to tell investors that GPB Capital didn't "timely make" required SEC filings tied to private placements.
December 02, 2022
Ex-LPL Rep Charged With Stealing $1.3M From Client With DementiaBradley Goodbred was arrested and charged with 23 felonies.
December 02, 2022
Advisors Could 'Skirt the Rules' Under FINRA Home Office Plan: PIABAPIABA is again asking the SEC to reject FINRA's proposal to home offices as non-branch locations.
December 01, 2022
Barred Broker Ordered to Pay $5.7M Over Cancer Treatment SchemeA three-member FINRA arb panel ruled against the former broker.
November 29, 2022
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness TamperingFINRA already barred the ex-broker, who also pleaded guilty to fraud and identity theft last year.
November 28, 2022
FINRA Bars Ex-Northwestern Mutual Rep Accused of Cheating on CFP ExamThe ex-broker allegedly solicited assistance from chat group participants who had already taken the test.