FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Number of Registered Reps Falls for Fifth Straight Year: FINRA
By Melanie WaddellThe number of BD firms has fallen every year for more than a decade, FINRA reports.
May 21, 2021
8 Top Enforcement Trends FINRA's Watching NowBad actors still lie, cheat and steal, but their methods have changed — and so have FINRA's enforcement tactics.
May 19, 2021
Brokers Still Gaming BrokerCheck With New Tactics: PIABA"Straight-in expungements" are the latest example of how investors and state regulators are left out of the expungement process, lawyers argue.
May 18, 2021
Ex-Raymond James Rep Who Stole From Elderly Clients Gets 5 Years in PrisonThe firm's former broker and executive pleaded guilty to defrauding two clients out of nearly $1 million.
May 17, 2021
UBS to Pay $4.8M Over Puerto Rican BondsTwo years ago, the firm was ordered to pay about $13 million to investors over the same risky bonds, which dated to 2013.
May 17, 2021
Ex-Wells Fargo Rep Sentenced to 27 Months in PrisonThe firm's former broker had pleaded guilty to wire fraud in which he stole more than $450,000 from about 40 clients.
May 14, 2021
FINRA Bars Ex-Securities America Broker Who Signed Dead Client's NameThe former rep signed his deceased client's name on annuity surrender forms, according to FINRA.
May 14, 2021
'Wandering' Bad Brokers Pose Risks for Clients, IndustryAdvisors with regulatory infractions often keep causing trouble even if they're barred from the business, a recent study finds.