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Finra has made genuine efforts to improve
As the regulator becomes more transparent, it may also become more fair on arbitration and enforcement.
Rep fired by NY Life barred from industry for failing to show up at Finra hearing
Tyrone Pang was terminated for accepting a customer's check made payable to himself for an insurance premium payment.
Citigroup must pay $11.5 million over garbled stock ratings
Finra says the bank's ratings system was riddled with errors and cost clients money.
J.P. Morgan fined $2.8 million for clearing errors
Finra says Bear Stearns' flawed system led to securities segregation issues
Finra bars ex-Merrill broker alleged to have borrowed money from clients
John James informed the regulator that he would not give testimony during its investigation into Merrill's allegations.
Merrill Lynch fined $26 million over suspicious transactions
SEC and Finra say firm failed to implement reasonable anti-money laundering procedures.
Bitcoin frenzy sparks Finra cryptocurrency warning
Investor alert advises wariness over too-good-to-be-true stock stories.
Finra fines Raymond James $2 million over emails
Regulator said firm's review system was 'flawed in significant respects.'
Finra advances proposals to clarify outside business activities, churning rules
Compliance experts say the changes would focus enforcement on investor harm.
Finra will publish budget for first time in 2018
Broker-dealer regulator's effort to be more transparent about finances stems from ongoing self-evaluation.
Former State Farm rep barred by Finra
Kim Le's outside business activities were subject of investigation
Finra fines Merrill Lynch $1.4 million over extended settlement transactions
Regulator said non-standard trades led to firm miscalculating net capital.
Finra bars former LPL broker for ‘misrepresentations’
Leslie Koonce denied he took part in private securities transactions.
Regulators showing renewed interest in cracking down on investment fees
SEC, Finra targeting high-fee share classes, 12b-1 fees and failure to give sales load discounts and waivers to investors.
Finra bars former MML broker for refusing on-record testimony
Self-regulator was investigating Brian Travers' outside business and private securities transactions.
Finra bars former Next rep over incomplete information
Regulator was investigating JoeAnn Walker's sales of variable annuities.
SEC charges former Philadelphia broker with fraud
Paul Smith allegedly raised $2.35 million without telling his broker-dealers.
Finra fines three former Cetera firms over sales
Investors Capital, J.P. Turner and VSR to pay $698,612 for pushing higher-priced fund classes.
Finra bars two former Wells Fargo reps over unsuitable energy securities
California brokers Charles Frieda and Charles Lynch allegedly exposed clients to undue risks.
Finra bars former UBS rep for private securities transactions
Regulator says Kenneth Tyrrell engaged in undisclosed trades worth $13 million.
