Financial Industry Regulatory Authority | Investment Executive https://www.investmentexecutive.com/post_company/financial-industry-regulatory-authority/ Canada's news source for financial professionals Wed, 03 Dec 2025 20:13:38 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Financial Industry Regulatory Authority | Investment Executive https://www.investmentexecutive.com/post_company/financial-industry-regulatory-authority/ 32 32 Broker failed to supervise front-end fund sales: FINRA https://www.investmentexecutive.com/news/broker-failed-to-supervise-front-end-fund-sales-finra/ Wed, 03 Dec 2025 20:13:38 +0000 https://www.investmentexecutive.com/?p=526909 SRO alleged investors paid US$2 million in fees for short-term sales

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]]> Reps’ court-side seats breach gift limits: FINRA https://www.investmentexecutive.com/news/reps-court-side-seats-breach-gift-limits-finra/ Mon, 03 Nov 2025 18:57:48 +0000 https://www.investmentexecutive.com/?p=524378 Wholesalers allegedly provided reps with valuable tickets

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]]> Investors that heed finfluencers, trade crypto easier to scam https://www.investmentexecutive.com/news/from-the-regulators/investors-that-heed-finfluencers-trade-crypto-easier-to-scam/ Tue, 07 Oct 2025 19:18:21 +0000 https://www.investmentexecutive.com/?p=522109 FINRA study finds meme stock, crypto, social media investors more vulnerable

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]]> Banned advisor gets jail for fraud in U.S. https://www.investmentexecutive.com/news/from-the-regulators/banned-advisor-gets-jail-for-fraud-in-u-s/ Mon, 29 Sep 2025 19:23:00 +0000 https://www.investmentexecutive.com/?p=521425 Rep allegedly stole over US$500,000 of an elderly man's inheritance

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]]> DoJ settles with BofA in spoofing case https://www.investmentexecutive.com/uncategorized/doj-settles-with-bofa-in-spoofing-case/ Mon, 22 Sep 2025 05:45:35 +0000 https://www.investmentexecutive.com/?p=520718 Firm avoides prosecution, agrees to disgorgement, restitution

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]]> FINRA launches crypto course for brokers https://www.investmentexecutive.com/news/from-the-regulators/finra-launches-crypto-course-for-brokers/ Tue, 16 Sep 2025 19:11:08 +0000 https://www.investmentexecutive.com/?p=520357 SRO undertakes education effort to boost firms' knowledge on emerging sector

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]]> Exec, advisor accused of pump-and-dump https://www.investmentexecutive.com/news/from-the-regulators/exec-advisor-accused-of-pump-and-dump/ Fri, 12 Sep 2025 18:26:56 +0000 https://www.investmentexecutive.com/?p=520085 Social media scheme allegedly netted US$100 million in illicit profits

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]]> Ex-broker charged in alleged U.S. Ponzi scheme https://www.investmentexecutive.com/news/from-the-regulators/ex-broker-charged-in-alleged-u-s-ponzi-scheme/ Wed, 10 Sep 2025 19:58:53 +0000 https://www.investmentexecutive.com/?p=519804 Investors lost US$50M in alleged Ponzi scheme: SEC

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]]> Suspended broker accused of social media scam https://www.investmentexecutive.com/news/from-the-regulators/suspended-broker-accused-of-social-media-scam/ Mon, 25 Aug 2025 19:36:02 +0000 https://www.investmentexecutive.com/?p=518326 U.S. authorities allege that rep used Facebook, Twitch to dupe investors

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]]> Instead of retiring, rep ran a Ponzi scheme: SEC https://www.investmentexecutive.com/news/from-the-regulators/instead-of-retiring-rep-ran-a-ponzi-scheme-sec/ Tue, 22 Jul 2025 17:54:06 +0000 https://www.investmentexecutive.com/?p=515796 U.S. advisor accused of running an investment fraud since exiting industry

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