News & Insights

Ongoing Phishing Alert, Messages Posing as FINRA

What happened?

Fairview has received numerous reports of fraudulent emails that appear to be from FINRA. These messages aim to elicit a reply in a short period of time. Legitimate FINRA emails or requests will only come from is an example of a current illegitimate domain being used by bad actors. Below is a sample email from a bad actor posing as FINRA.

The email reads:

By way of introduction, my name is Name, the Executive Vice President and Chief Information Officer, Financial Industry Regulatory Authority (FINRA). FINRA regulatory department has made multiple attempts to contact you to deliver a notice that requires your attention.

I’m reaching out due to the importance of this notice. It is disclosed below, kindly follow the information in the letter and complete the request at your earliest convenience.

Please let me know if you have any questions or concerns.



FINRA Request

Period:                  February 2024

Type:                     Confidential

Published Date: 15th March 2024

Due Date:            15th April 2024

File:                        FINRA_COMPANYNAME_Disclosure.pfd

Size:                       342kb

What does this mean for me?

If you receive an email that appears to be from FINRA, double check the domain.  Firms can verify outstanding information or requests by contacting FINRA via phone or through the FINRA Firm Gateway. If you are unsure whether an email is legitimate, verify the with the sender using a known email address or by calling a trusted phone number, not by using information included in the questionable email.  Avoid forwarding the suspicious email.

Fairview is available to assist clients with contacting FINRA to confirm the legitimacy of FINRA requests. Contact us with any questions.