FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ex-Merrill Broker Faces Disciplinary Process Tied to Trading, Sales Practices
By Dinah Wisenberg BrinAli Chehab wouldn't provide documents, FINRA alleges, and told staff: "I do not care if I get barred."
July 30, 2025
Ex-Raymond James Advisor Barred Over Probe Tied to Elderly ClientsAfter 26 years in the business, Meredith Archer failed to testify about whether she misappropriated client assets.
July 29, 2025
In Rare Move, SEC Overturns a FINRA Bar Over Test-TakingAn SEC decision to reduce the rep's bar to a suspension is raising eyebrows.
July 28, 2025
7 Ways Advisors Stand Out as ProfessionalsWith significant education, training and accountability, wealth managers are more than just salespeople.
July 28, 2025
Ex-Commonwealth Rep Lied About CE: FINRAFrancis Smith, now at Cambridge, was fined and suspended for having someone else complete his CE requirements.
July 28, 2025
FINRA Bars Ex-Northwestern Mutual Employee Over Faked Exam ScoreWillnard Love lied to his firm about passing the Securities Industry Essentials exam, the regulator found.
July 28, 2025
FINRA Takes a Hard Look at Its Enforcement ProgramThe review, conducted with outside experts, is aiming for "meaningful, common-sense improvements."
July 23, 2025
Ex-Schwab Rep Hid Profit-Sharing Agreement With Client: FINRADaniel Michael Roper made more than 20,300 trades in exchange for a cut of the profits, the regulator says.