News Releases View

FINRA Launches Enhanced Investor Education and Protection Tools to Help Research Markets and Recognize Fraud

Tue, 13 Oct 26 12:00:00 +0000

WASHINGTON—In a continuing effort to empower investors with the tools and knowledge they need to make informed financial decisions and avoid fraud, FINRA announced today the launch of the Market Data and Investments Explorer, as well as enhanced Risk and Scam Meters.

Report From FINRA Board of Governors’ September Meeting

Thu, 08 Oct 26 12:00:00 +0000

WASHINGTON—At its meeting Sept. 29-30, the FINRA Board of Governors approved four rule proposals for filing with the SEC and received briefings on key initiatives, including FINRA's ongoing rule modernization efforts.

FINRA Fines Revere Securities $800,000 for Small-Cap IPO-Related AML and Supervisory Failures

Tue, 06 Oct 26 12:00:00 +0000

WASHINGTON—FINRA has fined Revere Securities LLC $800,000 for anti-money laundering (AML) and supervisory violations related to small-cap initial public offerings (IPOs) for foreign-based issuers. As part of the settlement, FINRA also required Revere to retain a third-party consultant to conduct a review of compliance with FINRA rules, obtain a report from the consultant with recommendations on how to remediate its supervisory procedures and systems, and implement those recommendations.

New Research Finds Most Investors Lack Advanced Investment Knowledge, Increasing Their Exposure to Investment Risk

Mon, 05 Oct 26 12:00:00 +0000

WASHINGTON—To kick-off World Investor Week (October 5-11), the FINRA Investor Education Foundation (FINRA Foundation) and Stanford Initiative for Financial Decision-Making (IFDM), released new research examining how the investment literacy of Americans, particularly risk-related knowledge, is tied to their decisions and financial outcomes.

FINRA Foundation and AFCPE® Select the 2026 FINRA Foundation Military Spouse Fellows

Tue, 29 Sep 26 12:00:00 +0000

WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) are excited to announce the selection of the 2026 cohort of the FINRA Foundation Military Spouse Fellowship. This year, 30 military spouses will take steps toward achieving their Accredited Financial Counselor® (AFC®) designation, setting the groundwork for meaningful careers in financial counseling.

FINRA Bars Broker for Misappropriating $1.7 Million from Customers’ Accounts

Tue, 29 Sep 26 12:00:00 +0000

WASHINGTON—FINRA has barred Rudy Anguiano of Chino Hills, CA, a former registered representative of LPL Financial LLC, from associating with any FINRA member firm in all capacities for conversion—the intentional and unauthorized taking of another person’s property—of $1,731,000 from two customers’ accounts into an outside business bank account.

FINRA Orders American Portfolios to Pay $1.2 Million in Restitution and $400,000 in Fines for UIT Supervision Failures

Tue, 22 Sep 26 12:00:00 +0000

WASHINGTON—FINRA has ordered American Portfolios Financial Services, Inc. to pay $1,232,939 in restitution, plus interest, to customers and has fined the member firm $400,000 for failing to reasonably supervise recommendations that customers sell unit investment trusts (UITs) before their maturity dates, which resulted in customers paying unnecessary costs and fees.

FINRA Fines UBS Financial $20 Million for Anti-Money Laundering Violations

Mon, 03 Aug 26 12:00:00 +0000

WASHINGTON—FINRA has fined UBS Financial Services Inc. (UBS Financial) $20 million for anti-money laundering (AML) violations.

FINRA Foundation Research Reveals Gaps in Fraud Awareness That May Leave Americans Vulnerable

Wed, 22 Jul 26 12:00:00 +0000

WASHINGTON—A new report released today by the FINRA Investor Education Foundation (FINRA Foundation) reveals troubling knowledge gaps that may leave millions of Americans vulnerable to victimization as financial fraud losses near $200 billion annually.

FINRA Announces Results of Board of Governors Elections

Fri, 17 Jul 26 12:00:00 +0000

WASHINGTON—FINRA announced today the results of its Board of Governors elections during its annual meeting of member firms on Monday.