Displaying 1932 results
Taking a lump-sum pension payment? Watch out for bad boy brokers
A pension buyout comes with risks.
Working to get Reg BI implemented
Open lines of dialogue will be crucial in identifying the key issues that are most in need of clarification
Finra panel orders Stifel to pay $1.5 million to clients
Sum constitutes compensatory damages for breach of duties.
Finra panel orders Stifel to pay $1.5 million to clients
Sum constitutes compensatory damages for breach of duties.
Finra approves plan for specialized arbitrators to decide broker expungements
Board also votes for proposal about brokers acting as client beneficiaries.
Finra censures, fines UBS $2 million over muni improprieties
Regulator says firm inaccuarately represented tax status of interest payments to clients.
Ex-LPL broker arrested, charged with running Ponzi scheme
James T. Booth defrauded 40 clients of $5 million, Feds allege.
Number of brokerages, reps registered with Finra falls again
Despite the declining number of participants, industry revenue and profit increase.
Finra censures, fines UBS $2 million over muni improprieties
Regulator says firm inaccuarately represented tax status of interest payments to clients.
Ex-LPL broker arrested, charged with running Ponzi scheme
James T. Booth defrauded 40 clients of $5 million, Feds allege.
Number of brokerages, reps registered with Finra falls again
Despite the declining number of participants, industry revenue and profit increase
Finra censures Newbridge Securities and fines firm $225,000
The firm consents to having inadequately supervised sales of complex products.
Finra bars IFS Securities executive linked to reported $10 million trading loss
Keith Wakefield did not testify in Finra investigation of 'trading improprieties' at IFS.
Finra bars former Wells Fargo broker for insider trading
Joseph Pratt of Conshohocken, Pa., used private information from clinical trials.
Leading expungement attorney accuses Finra staff of trying to influence arbitrators
Finra spokeswoman: Case staff advise arbitration panels on rules, procedures
After trading loss, employees at Atlanta B-D are looking for work elsewhere
IFS Securities reps are talking to other firms while some managers relocate.
House approves bill that would end mandatory arbitration in broker, adviser contracts
Legislation unlikely to get through Senate but sends a message for potential future action.
Schroeder steps down as head of Finra enforcement
She led merger of disparate operations, set principles for actions
UBS ‘raid’ of Credit Suisse in U.S. prompts $9 million slap
Arbitration panel rules UBS did raid Credit Suisse employees.
Raymond James to pay $15 million over improper charges to clients
Firm charged advisory fees on inactive accounts and excess commissions for UITs.
