FINRA

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

Edward Jones Fined $1.1M Over Phone Records

December 14, 2022

Edward Jones Fined $1.1M Over Phone Records
Advisor Group BDs Hit With $1.3M FINRA Penalty

December 06, 2022

Advisor Group BDs Hit With $1.3M FINRA Penalty
Ex-LPL Rep Charged With Stealing $1.3M From Client With Dementia

December 02, 2022

Ex-LPL Rep Charged With Stealing $1.3M From Client With Dementia
Advisors Could 'Skirt the Rules' Under FINRA Home Office Plan: PIABA

December 02, 2022

Advisors Could 'Skirt the Rules' Under FINRA Home Office Plan: PIABA
Barred Broker Ordered to Pay $5.7M Over Cancer Treatment Scheme

December 01, 2022

Barred Broker Ordered to Pay $5.7M Over Cancer Treatment Scheme
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness Tampering  

November 29, 2022

SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness Tampering  
FINRA Bars Ex-Northwestern Mutual Rep Accused of Cheating on CFP Exam

November 28, 2022

FINRA Bars Ex-Northwestern Mutual Rep Accused of Cheating on CFP Exam