Displaying 1932 results
In latest A-share discount snafu, broker-dealer pays $1.37 million to clients
Lincoln Investment Planning overcharged certain clients for 7 1/2 years.
Finra bars former Wells Fargo broker terminated for allegedly asking a client for a loan
The Texas-based financial adviser failed to participate in regulator's investigation.
Kovack re-elected to Finra board
Paige Pierce wins small-firm seat, Janney Montgomery Scott CEO Timothy Scheve takes large-firm seat
Finra arbitrators order Pennsylvania brokerage to pay client $1 million in damages
James E. Grimes accused Trustmont Financial of breaching fiduciary duty in a case related to two annuity exchanges and a private REIT.
SEC chairman Jay Clayton calls for end to broker sales contests
Top regulator says such incentives prevent brokers from acting in clients' best interests.
Finra fines Interactive Brokers $5.5 million for short-sale violations
Regulator says firm did not have adequate procedures in place to comply with regulations
How a hacker led to Finra censuring and fining a broker-dealer
Buttonwood Partners of Madison, Wis., fined $50,000 over unauthorized transfers.
Finra panel awards clients $5 million for churning, but from defunct brokerage
Dairy farmer clients' $1.5 million portfolio incurred $1.3 million in trading costs, but will they be able to collect?
SEC charges former UBS broker with $4 million scam
John Maccoll, who was fired from firm and barred by Finra, also faces criminal charges
SEC bars former adviser, orders him to pay $1.58 million
Agency says Jinesh Brahmbhatt failed to disclose conflicts to his young, pro athlete clients.
Registered reps, firms in brokerage industry decline: new Finra report
Regulator publishes first-ever snapshot of sector it oversees.
Finra bars former UBS rep for failure to provide information
Regulator was investigating Alex Herrera's real estate deals with clients
Deluge of comment letters to SEC shows usual split on raising broker standards
Industry groups support SEC advice rule proposal, investor advocates call for overhaul.
Ohio brokerage tries to buck Finra settlement
Westminster Financial Securities said to be reneging on agreement to pay elder client, including for a $200,000 bronze bear purportedly purchased from a broker's mother.
Former dissident candidate for Finra board now runs with board imprimatur
Three years ago, Brian Kovack won an upset bid as a dissident candidate for a Finra board seat.
Finra asking firms for comments on fintech innovation
Regulator wants to know what it can do to provide support.
Finra consolidates enforcement program in hopes of delivering consistency, transparency
Regulator says move will ensure unified approach in charging, sanctions.
Finra whacks Advisor Group, NPH with $2.7 million in fines over variable annuity sales
Eight broker-dealers censured for supervisory laxity in monitoring VA exchanges.
Democrats criticize SEC advice rule, push for fiduciary standard
If party takes over House in 2019, look for increased pressure on the regulator for a stricter duty.
Wells Fargo takes $8.7 million arbitration hit over Puerto Rican bonds
Finra panel says firm and broker are liable for damages, interest, fees and costs.
