Displaying 1932 results
Former Pennsylvania broker convicted on 11 counts of wire and mail fraud
Anthony Diaz faces 220 years in jail for filing paperwork inflating clients’ net worth
Finra censures Wells Fargo for failure to stop rep’s churning
Firm was also fined $175,000 after rep's 88-year-old client paid $300,000 in commissions
Finra fines rep for borrowing $150,000 from 90-year-old customer
Kerry Wills also accepted $19,500 in luxury travel gifts he didn’t disclose
Finra bars broker who sold Future Income Payments Ponzi
Kari Bracy was a no-show with Finra for its investigation into the matter
Carson expungement illustrates problem with system, lawyers say
A Finra arbitrator ruled that a customer dispute from 2004 should be removed from his record
Former baseball star Angel Pagan wins $1.7 million arbitration award against Merrill Lynch
Case revolved around investments in Puerto Rican bonds made by the former MLB star
Finra names Jessica Hopper head of enforcement
The longtime Finra official served as acting enforcement chief since September
Finra fines Prudential $1M over sloppy retirement-plan information
Regulator says flawed communications left plan participants in dark about investment costs
Will Finra’s rogue broker rule go far enough?
The problem won’t go away if it’s regarded solely as an issue for smaller firms
Finra outlines questions firms must answer on Reg BI compliance
Regulator also highlights private placements, digital communications and bank sweeps as priorities
David Tittsworth, longtime leader of Investment Adviser Association, dies
At 2012 congressional hearing, he helped derail bill on Finra oversight of advisers
Finra bars two no-show brokers
Shlomo Strugano and John Chrysadakis allegedly falsified documents
Robinhood fined $1.25 million by Finra
Regulator says trading app's order-flow procedures failed to guarantee clients received best prices
Finra arbitrators order UBS to pay more than $11 million in defamation case
Panel awards punitive damages to fired supervisor, which claimant's attorney calls 'unicorn rare.'
Key to complying with Reg BI: Make a reasonable effort to act in the client’s best interest
SEC official: 'Can I demonstrate how I got to this recommendation?'
CFP Board’s enforcement program needs a shake-up: report
Self-reporting of regulatory issues by advisers has been a clear weakness.
Finra, exchanges bar Samuel Lek for faulty supervision
Eponymous firm provided market access to foreign investors engaging in manipulation.
Finra board sends the SEC proposal to boost oversight of firms hiring rogues
Panel also ships the SEC amendments to suitability rule to conform with Reg BI
Finra announces consolidation of examination functions
Broker-dealer regulator will review firms based on their business models
Investors don’t know much about investment basics, Finra finds
Regulator's Investor Education Foundation survey reveals little knowledge of key concepts.
