The penalty is the latest reminder that off-channel communications is still a live issue with regulators.

According to FINRA’s complaint, which was filed against Walesa in August with FINRA’s internal Office of Hearing Officers, ...

Regulator says St. Louis-based hybrid firm failed for years to supervise, retain, and produce thousands of business-related ...

Brokers and industry groups are greeting a FINRA proposal meant to relax advisors' obligation to report side hustles like weekend bartending gigs with a big "thanks but no thanks." Processing Content ...

BrokerCheck is an online tool provided by the Financial Industry Regulatory Authority (FINRA) that enables investors to research the professional backgrounds of brokers and brokerage firms. The ...

In an era where side hustles are increasingly common, Finra says it wants to update its rules governing brokers’ outside business activities and private securities transactions to focus on high-risk ...

On March 18, 2024, FINRA announced that it has fined a broker-dealer $850,000 in connection with the firm’s program to pay individuals with followings on social media sites (i.e., “influencers”) to ...

The Financial Industry Regulatory Authority has suspended an Oklahoma financial broker for allegedly impersonating 14 clients during phone calls with his previous brokerage firm. As part of a ...

The Financial Industry Regulatory Authority (FINRA) has proposed a sweeping update to how broker‑dealers handle outside business activities ...

The Lewis F. Powell, Jr. Courthouse, home of the Fourth Circuit, in Richmond, Virginia. (Acroterion/ Wikipedia Commons via Courthouse News) RICHMOND, Va. (CN) — Fourth Circuit judges on Tuesday ...

Stifel will pay over $400,000 to settle FINRA disciplinary charges that the firm dropped the ball in supervising a registered rep who stole over $100,000 from an elderly customer. The b/d regulator’s ...