FINRA

Advisor Upside

FINRA Faces Big Legal Battles in 2025

Photo by Ajay Suresh via CC BY 2.0

The Wall Street watchdog is facing criticism from lawmakers, along with two lawsuits, that could theoretically redefine the agency.

2 min read

Photo by Gage Skidmore via CC BY-SA 2.0

Advisor Upside

FINRA Cases Hit Record Lows. Warren Wants Answers

FINRA enforcement cases plummeted last year, sliding to the lowest level in the agency’s history, which caught the eye of Elizabeth Warren.

2 min read
Photo via Finra

Advisor Upside

Will a Trump Administration Really Axe Finra?

The conservative manifesto, called Project 2025, unveiled plans to cut several government offices including Finra.

2 min read
Photo via Finra

Advisor Upside

Finfluencers in Crosshairs of Latest FINRA Lawsuit

The online broker TradeZero allegedly did not properly oversee paid online marketing materials created by social media influencers.

2 min read

Advisor Upside

Wells Fargo Fires Employees for Pretending to Work

Photo by Nick Sarvari via Unsplash

Wells Fargo said the allegations involved “simulation of keyboard activity” that created the “impression of active work.”

2 min read