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News Releases

March 15, 2017

FINRA Appoints Nathaniel Stankard as Senior Advisor to the CEO
March 8, 2017

FINRA Proposes Streamlining Competency Exams
March 1, 2017

2017 FINRA Foundation Military Spouse Fellowship Application Now Open
March 1, 2017

FINRA Bars Registered Representative for Unauthorized and Unsuitable Trading in Elderly Customer’s Retirement Account
February 27, 2017

FINRA’s Academic Corporate Bond TRACE Data Product Goes Live
February 22, 2017

FINRA Orders Purshe Kaplan Sterling Investments to Pay $3.4 Million in Restitution to Native American Tribe; Firm Also Fined $750,000 for Failures to Supervise
February 14, 2017

FINRA Hearing Panel Expels Red River Securities, LLC and Bars CEO Brian Keith Hardwick for Fraud; Ordered to Pay $24.6 Million in Restitution to Investors
February 9, 2017

FINRA Promotes Marcia E. Asquith to EVP, Board and External Relations; and Jennifer Piorko Mitchell to VP, Corporate Governance
February 8, 2017

FINRA Dispute Resolution Issues Status Report on Arbitration Task Force Recommendations
February 2, 2017

FINRA Expels Lawson Financial and Bars CEO Robert Lawson for Fraudulent Municipal Bond Sales
January 30, 2017

Josh Drobnyk Joins FINRA as Senior Vice President, Corporate Communications
January 19, 2017

Gregory Dean Joins FINRA as Senior Vice President, Office of Government Affairs
January 18, 2017

FINRA Reports on Potential Implications of Blockchain; Seeks Comment
January 3, 2017

An Inherited IRA Has Important Tax and Estate Planning Implications
December 21, 2016

FINRA Fines 12 Firms a Total of $14.4 Million for Failing to Protect Records From Alteration
December 16, 2016

FINRA Fines Deutsche Bank $3.25 Million for Deficient Disclosures Concerning the Operation of Its Alternative Trading System
December 15, 2016

FINRA Enforcement Chief Brad Bennett Announces Departure
December 13, 2016

FINRA Foundation Publishes In-depth Analysis of U.S. Investors
December 9, 2016

FINRA Seeks Information from Former Registered Bank Employees of Wells Fargo
December 5, 2016

FINRA Fines Credit Suisse Securities (USA) LLC $16.5 Million for Significant Deficiencies in its Anti-Money Laundering Program
November 30, 2016

FINRA Sanctions Merrill Lynch $7 Million for Inadequate Supervision of Securities-Backed Leverage in Customer Brokerage Accounts
November 28, 2016

FINRA Fines VALIC Financial Advisors, Inc. $1.75 Million for Failure to Prevent Conflicts of Interest in its Compensation Policy and for Other Supervisory Failures Related to Variable Annuity Sales
November 23, 2016

New Award Honors Retired FINRA CEO
November 18, 2016

FINRA Receives SEC Approval for Enhanced Price Disclosure to Retail Investors for Fixed-Income Securities
November 17, 2016

FINRA Sanctions Oppenheimer & Co. $3.4 Million for Reporting Violations, Failing to Comply With Discovery Obligations in Arbitrations, and Other Supervisory Failures

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