News Releases

January 17, 2020

FINRA Promotes Jessica Hopper to Head of Enforcement

January 09, 2020

FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter

December 30, 2019

FINRA Orders Oppenheimer & Co. Inc. to Pay $3.8 Million in Restitution to Customers for Supervisory Failures Involving Unit Investment Trusts

December 26, 2019

FINRA Sanctions Five Firms For Failing to Reasonably Supervise Custodial Accounts

December 23, 2019

FINRA, Exchanges Fine Credit Suisse $6.5 Million for Supervision, Mkt Access Violations

December 19, 2019

FINRA Fines Robinhood Financial, LLC $1.25 Million for Best Execution Violations

December 17, 2019

FINRA, NASDAQ, BX, PHLX, ISE, NYSE, NYSE Arca, NYSE American, Cboe, BZX, BYX, EDGA, and EDGX Permanently Bar Samuel Lek and Fine Lek Securities Corporation for Supervisory and Market Access Rule Violations

December 13, 2019

Report from FINRA Board of Governors Meeting – December 2019

December 12, 2019

FINRA Announces Senior Leadership Team Under New Examination and Risk Monitoring Program Structure

December 12, 2019

U.S. Investors Fail Investing Quiz and Face Confusion about Investment Account Fees

December 02, 2019

FINRA Expands Transparency of OTC Equity Trading Volume

November 11, 2019

New Research: Financial Well-Being of U.S. Military Veterans Improving, Surpassing Non-Veterans

November 06, 2019

FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes

October 24, 2019

FINRA Fines BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. $15 Million for AML Program and Supervisory Failures

October 21, 2019

FINRA Bars Ami Forte and Charles Lawrence for Their Roles in Churning Accounts of Elderly Client with Dementia

October 16, 2019

FINRA Publishes 2019 Report on Examination Findings and Observations

October 15, 2019

FINRA Board of Governors Appoints Peter Fisher as Newest Governor

October 10, 2019

Many U.S. Investors Ill Equipped to Manage Personal Finances, Especially Investments

October 08, 2019

FINRA Provides New Reg BI and Form CRS Resources

October 03, 2019

Report from FINRA Board of Governors Meeting – September 2019

October 03, 2019

FINRA Foundation Awards 2019 Ketchum Prize

October 02, 2019

FINRA Fines UBS Financial Services Inc. $2 Million for Continued Failures Relating to Short Positions in Municipal Securities

October 02, 2019

FINRA Publishes 2019 Industry Snapshot

September 30, 2019

New Fraud Research: Low Financial Literacy Levels and Social Isolation Increase Consumers’ Likelihood of Being Scammed

September 19, 2019

FINRA EVP of Enforcement Susan Schroeder Announces Departure

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