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News Releases

August 1, 2016

FINRA Files Complaint Charging Broker With Fraudulently and Excessively Trading Accounts of Elderly, Blind Widow
July 19, 2016

FINRA Fines Prudential Annuities Distributors, Inc. $950,000 for Failing to Prevent Theft of $1.3 Million From Elderly Customer’s Variable Annuity Account
July 15, 2016

John J. Brennan Elected Chairman of FINRA Board of Governors
July 12, 2016

Americans’ Financial Capability Growing Stronger, but Not for All Groups: FINRA Foundation Study
June 29, 2016

FINRA Fines Deutsche Bank Securities Inc. $6 Million for Submitting Inaccurate and Late Blue Sheet Data
June 23, 2016

FINRA Fines Merrill Lynch $5 Million for Failing to Disclose Material Facts in Sales of Volatility-Linked Structured Notes to Retail Customers
June 14, 2016

Computerworld Names FINRA Among Best Places to Work in IT for 5th Consecutive Year
June 13, 2016

FINRA Announces CEO Transition
June 8, 2016

FINRA Sanctions Oppenheimer & Co. $2.9 Million for Unsuitable Sales of Non-Traditional ETFs and Related Supervisory Failures
June 2, 2016

FINRA Fines E*Trade Securities LLC $900,000 for Supervisory Violations Related to Best Execution and Protection of Customer Order Information
May 19, 2016

FINRA Files Complaint Charging Lawson Financial Corporation, CEO With Fraudulent Municipal Bond Sales, and Charging CEO With Misuse of Customer’s Charitable Trust Funds
May 18, 2016

FINRA Fines Raymond James $17 Million for Systemic Anti-Money Laundering Compliance Failures
May 13, 2016

FINRA Offers What Investors Should Know about Crowdfunding
May 11, 2016

FINRA Fines Stephens Inc. $900,000 for Inadequate Supervision of Research Department "Flash" Emails
May 5, 2016

Emotions Increase Susceptibility to Fraud in Older Adults: Research from Stanford, FINRA Foundation and AARP
May 3, 2016

FINRA Sanctions MetLife Securities, Inc. $25 Million for Negligent Misrepresentations and Omissions in Connection With Variable Annuity Replacements
April 28, 2016

FINRA Issues First Cross-Market Report Cards Covering Spoofing and Layering
April 27, 2016

FINRA Investor Education Foundation and Filene Research Institute Announce Employer Sponsored Small Dollar Loan Research Collaboration
April 25, 2016

New Data on OTC Equity Trading Now Available, FINRA Announces
April 25, 2016

FINRA Decision Bars James Van Doren for Unethical Conduct; Registered Representative Engaged in Money Laundering and Assisted Friend in Deceiving Creditors
April 20, 2016

FINRA Securities Helpline for Seniors Marks First Year, With $1.3 Million Returned to Investors
April 19, 2016

FINRA Reminds Firms about Obligations Regarding Pension Income Stream Products
April 7, 2016

FINRA Offers What You Need to Know About Required Minimum Distributions in Traditional IRAs
March 31, 2016

How Investors Can Avoid Getting Fooled
March 23, 2016

Power of Attorney and Your Investments: 10 Tips from FINRA

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