FINRA Orders Stifel to Pay $3.6 Million for Alleged Unit Investment Trust Violations

June 1, 2020

FINRA Amends Rules to Incentivize Payment of Arbitration Awards

May 28, 2020

Hearing Panel Rejects FINRA Allegations Against Shopoff Securities and Officers

May 22, 2020

FINRA Fines Merrill Lynch for Allowing Unregistered Executive to Act as Principal

May 15, 2020

FINRA Suspends and Fines Former LPL Broker for Improper REIT Sales

May 8, 2020

FINRA Warns of Fake Phishing Emails Purporting to be from FINRA Officers

May 6, 2020

FINRA Fines Kestra for Violating Customer Privacy

April 30, 2020

FINRA Postpones All In-Person Arbitration and Mediation Hearings

April 21, 2020

New Jersey Extends State Fiduciary Rule Finalization Amid Pandemic

April 20, 2020

FINRA Suspends and Fines Former LPL Rep for Borrowing $1.3 Million from Client

April 3, 2020

FINRA Fines Former Merrill Lynch Broker for Covering Clients’ Losses

March 23, 2020

FINRA Postpones All In-Person Arbitration and Mediation Hearings Due to Coronavirus

March 17, 2020

FINRA Issues Notice on Pandemic-Related Business Continuity Planning

March 11, 2020

FINRA Fines/Suspends Broker Over Firearms Business

March 11, 2020

Report: FINRA Fines, Restitution and Cases Plummet in 2019

March 6, 2020

Barred Broker Files Lawsuit Challenging FINRA’s Ability to Bar Brokers

March 2, 2020

FINRA Sanctions Broker for Using WhatsApp to Text Overseas Clients

February 27, 2020

FINRA Bars Another Broker for Selling Woodbridge Ponzi Promissory Notes

February 13, 2020

Inland Exec Appointed to FINRA’s Midwest Region Committee

February 6, 2020

Guest Contributor: 2020 Examination Priorities, FINRA to Scrutinize Private Placement Marketing Materials

February 4, 2020