Financial Industry Regulatory Authority (FINRA)

  1. All
  2. Articles

Watch breaking news videos and read news updates about Financial Industry Regulatory Authority (FINRA) on

  1. Articles

    Finra's Susan Axelrod: Finding a job you love is what matters

    My professional life started on Wall Street — a male-dominated environment that has evolved a lot over the course of my career — and that has shaped who I am personally and professionally.

  2. Articles

    Finra to seek a 'significant fine' from MetLife over variable annuity sales

    Regulator focuses on potential violations regarding misrepresentations, suitability, and supervision

  1. Articles

    Ex-Ameriprise adviser gets 7 years in the slammer for bilking clients

    Breakfast with Benjamin: Susan Elizabeth Walker was sentenced to more than seven years in prison for taking over $1 million from clients' accounts.

  2. Articles

    Finra official says agency there to discipline, not punish

    Finra says it is more interested in supervisory lapses, suitability issues with complex products and selling away than big-money fraud.

  3. Articles

    Investor lawyers say Finra moving too quickly on arbitration unit

    Plaintiffs' attorneys representing investors are calling on Finra to slow down a proposal that would bring its dispute resolution arm back in house.The Public Investors Arbitration Bar Association said that the industry-funded broker-dealer regulator has not provided enough time to comment on the

  4. Articles

    Finra arbitration cases are down, but the rest of the year may tell another story

    A former Finra director says wild market gyrations over the summer will induce cases that could take months to fully reveal themselves.

  5. Articles

    Another five firms ordered to pay $18M for mutual fund overcharges

    Finra says Edward Jones, Stifel Nicolaus, Janney Montgomery Scott, Axa and Stephens failed to waive sales charges for certain retirement accounts and charities.

  6. Articles

    Finra efforts fail to reduce brokers' record-cleansing: PIABA

    Between 2012-14, expungement was granted in 87.8% of cases in which it was sought, according to the Public Investors Arbitration Bar Association.

  7. Articles

    Finra sanctions a dozen IBDs $6.7 million for breakpoint snafus

    Finra ordered a dozen firms to pay restitution and fines totaling $6.7 million for failing to give clients discounts for large purchases of unit investment trusts.

  8. Articles

    Former adviser agrees to $2 million settlement in scheme to defraud mostly elderly clients

    Michael Donnelly admitted he never invested the client funds he received, using them for business and personal expenses.

  9. Articles

    Regulators target free lunches for elderly clientele

    Concerns involve linkages between these prospecting meals — popular with seniors — and sales of high-fee investment products.

  10. Articles

    SEC approves rule requiring BrokerCheck links

    SEC will require brokerages to include a 'readily apparent reference and hyperlink' to the database on home pages and broker profiles.

  11. Articles

    Mandatory arbitration reform on the docket at CFPB

    Experts in the financial industry question what spillover effect it will have on such clauses for brokers.

  12. Articles

    State regulators, Finra, SIFMA propose fee disclosure model for brokers

    State regulators, Finra, SIFMA say their approach would clarify charges to investors, yet commissions and advisory fees are left out of the plan.

  13. Articles

    Finra board to consider tougher expungement guidance to arbitrators

    Inserting strong language into rules, such as that wiping clean a broker's record should only be considered 'an extreme remedy,' could give it more weight.