FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Morgan Stanley Sued by Ex-Broker Over Arb Award
By Jeff BermanThe firm's former registered rep alleged he was wrongfully terminated and defamed by the wirehouse.
August 08, 2022
FINRA Warns BDs of Spike in E-Signature ForgeriesThe regulator has received a growing number of reports about registered reps forging or falsifying client signatures.
August 05, 2022
Ex-Rep Booted Over Claims of Racism Sues LPL for $95MThe broker-dealer ended its affiliation with Eileen Cure after claims surfaced online that she had refused to hire Black job-seekers.
August 03, 2022
Ex-Advisor Sentenced to Almost 22 Years in Prison Over Fake-Annuity ScamThe former Allstate, LPL and Merrill Lynch broker was convicted of stealing over $9.3 million from clients.
August 01, 2022
Worker Classification for Independent Financial Professionals: Big Changes Ahead?The Labor Department plans to propose new rules on independent contractors that might affect advisors.
August 01, 2022
FINRA Seeks to Rein In a Common Expungement TacticFINRA believes straight-in expungements are problematic because they are granted at a higher rate.
July 29, 2022
National Securities Closes Its DoorsThe broker-dealer ceased operations this week, and its advisors moved to B. Riley Wealth through a merger.
July 29, 2022
FINRA Seeks to Allow Private Homes as Non-Branch OfficesHome offices deemed "residential supervisory locations" would be inspected regularly and face certain limitations.