FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
Report Center Webinar Series: MRSB Report Card
This comprehensive webinar series is designed to help your firm maximize the value of FINRA's Report Center. The Report Center provides firms with secure access to data and reports that help detect potential compliance problems early, offering report cards that cover a variety of topics and rulesets.
Customer Information Request
Join this webinar for an overview of the Customer Information Request that was sent to firms through FINRA Gateway on Oct. 7. FINRA staff will discuss the objective of the request, how the data will be used, new submission features and who to contact with questions.
FINRA Bars Broker for Misappropriating $1.7 Million from Customers’ Accounts
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.