The Financial Industry Regulatory Authority Inc. on Friday suspended for three months a former Merrill Lynch broker after it found that he didn’t report felony charges stemming from a 2020 arrest for marijuana possession. The broker, Shaiful Chowdhury, was arraigned ...

Finra is probing how brokerages use TikTok, Twitter, Instagram, Facebook and other social media platforms to land new customers. In an examination sweep launched this month, the Financial Industry Regulatory Authority Inc. will assess how firms utilize online “influencers” to ...

Finra this week suspended an institutional salesman for eight months and fined him $5,000 for fudging expense reports related to his commuting expenses riding a bus, according to a settlement released Tuesday. Anthony DeJohn was registered with BMO Capital Markets ...

Greg Ruppert, currently executive vice president and leader of Finra’s National Cause and Financial Crimes Detection Program, will succeed Bari Havlik as head of the department of member supervision on Nov. 1. Havlik is retiring and will remain an adviser ...