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FINRA Investor Protection. Market Integrity. Only the official, verified social media accounts for FINRA are authorized to represent FINRA’s views.

FINRA, the self-regulator of broker-dealers, protects investors, promotes capital formation and safeguards the markets – all at no cost to American taxpayers. Any opinions or statements expressed on other accounts do not reflect the views of the organization.

📣 Now available: Three new and enhanced tools to help investors navigate the markets and recognize fraud. ➡️ The Market ...
10/13/2026

📣 Now available: Three new and enhanced tools to help investors navigate the markets and recognize fraud.

➡️ The Market Data and Investments Explorer (MDIE) brings together market, product and company data with educational context to make market information and investing terms easier to understand.

➡️ The Risk Meter helps investors assess their susceptibility to investment fraud with a personalized fraud vulnerability rating and tips to strengthen their defenses.

➡️ The Scam Meter builds awareness of red flags and delivers insights into where an investor may benefit from additional vigilance.

Learn more about FINRA’s free investor resources: https://bit.ly/4dA0ton

What's on FINRA's regulatory policy agenda? Robert Colby has the update. From new tools to fight financial exploitation ...
10/12/2026

What's on FINRA's regulatory policy agenda? Robert Colby has the update.

From new tools to fight financial exploitation of seniors and vulnerable adults, to giving investors more freedom to participate in markets, modernizing how they receive their account information, tackling fraudulent account transfers, and replacing outdated member firm reporting rules, FINRA's rule modernization work is focused on how we serve investors, markets, and our members.

📄 Read the blog: https://bit.ly/4ijJyIj
▶️ View FINRA's Regulatory Policy Agenda: https://bit.ly/4ieNxH0

FINRA has recently seen an increase in scams that target investors, particularly older investors, and manipulate them in...
10/07/2026

FINRA has recently seen an increase in scams that target investors, particularly older investors, and manipulate them into transferring funds from their brokerage and other financial accounts.
Understanding how these schemes work and recognizing the warning signs can help investors better protect themselves from fraud and financial exploitation.

▶️ Learn more: https://bit.ly/4yHzy2u

10/06/2026

This , we're talking about one of the most pressing threats facing investors today. AI hasn't changed the fraud playbook. It's just made it faster, cheaper, and harder to detect. Deepfakes, voice cloning, fake websites built in minutes. On the latest episode of , Christine Kieffer and Mayur Patel break down how AI is supercharging investment fraud, what red flags to watch for, and what FINRA is doing to protect investors and member firms.

🎧 Listen here: https://bit.ly/4sa4LJf

In today’s evolving landscape, knowing how to plan ahead and staying vigilant can help protect investors from unpredicta...
10/05/2026

In today’s evolving landscape, knowing how to plan ahead and staying vigilant can help protect investors from unpredictable markets and against fraudulent investment scams. During World Investor Week 2026, FINRA, the U.S. Securities and Exchange Commission, CFTC - U.S. Commodity Futures Trading Commission, NASAA, National Futures Association Careers and Securities Investor Protection Corporation are highlighting the importance of investor resilience and fraud awareness in a new Investor Bulletin.

▶️ Learn more: https://bit.ly/4jGr8Dz

FINRA has barred Rudy Anguiano of Chino Hills, CA, a former registered representative of LPL Financial LLC, from associa...
09/29/2026

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. LPL has since reimbursed both customers in full.

▶️ Learn more: https://bit.ly/4AFgO4W

Reliable resources can help you make informed investment decisions. Whether you’re an experienced investor or just getti...
09/28/2026

Reliable resources can help you make informed investment decisions. Whether you’re an experienced investor or just getting started, free financial tools, databases and materials from FINRA and other industry regulators provide information you can trust.

▶️ Learn more about these and other free, reliable investor resources: https://bit.ly/4rAWuxr

Join us October 27 – 28 in Chicago for FINRA's 2026 Small Firm Conference. Designed exclusively for small member firms, ...
09/25/2026

Join us October 27 – 28 in Chicago for FINRA's 2026 Small Firm Conference. Designed exclusively for small member firms, the conference brings together peers, practitioners, and FINRA senior staff to discuss the compliance and regulatory topics that matter most to your business.

Connect with peers from firms similar in size and structure and walk away with practical compliance strategies you can put to work immediately.

🔗 Register today: https://bit.ly/4johvJF

Join us October 27 – 28 in Chicago for FINRA’s 2026 Small Firm Conference. Designed exclusively for small member firms, ...
09/25/2026

Join us October 27 – 28 in Chicago for FINRA’s 2026 Small Firm Conference. Designed exclusively for small member firms, the conference brings together peers, practitioners, and FINRA senior staff to discuss the compliance and regulatory topics that matter most to your business.

Connect with peers from firms similar in size and structure and walk away with practical compliance strategies you can put to work immediately.

🔗 Register today: https://bit.ly/4johvJF

FINRA has ordered American Portfolios Financial Services, Inc. to pay $1,232,939 in restitution, plus interest, to custo...
09/22/2026

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.

▶️ Learn more: https://bit.ly/4ApNWh1

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