Displaying 1932 results
Fidelity asks Arizona court for injunction against two brokers
Alleges two reps took client information when they left to start a firm.
SEC charges Cape Cod RIA with $3 million fraud
Agency says Kimberly Pine Kitts created fake tax documents to cover up thefts.
Democratic senators want Finra to weigh in on SEC advice rule
Warren, Booker, Brown say Finra's interpretation could determine whether measure has teeth.
Alphabet soup is hot, and clients will pay more for those letters
Consumers value designations, although opinions vary on which ones carry the most swagger.
Broker accused of churning barred by Finra
Paul Soll, formerly of Financial West, failed to provide regulator with information it requested.
Finra censures Cetera for lax supervision of brokers’ outside activities
Regulator also levies $200,000 fine, cites Cetera's failure to review rep's disclosures
Former Bank of America employee files Finra arbitration claim
Joe Voboril is seeking $20 million in damages for wrongful termination.
Finra set to strengthen background checks for new registered rep hires
Regulator will conduct public financial records review within 15 days of Form U4 filing.
Better Markets blasts Finra’s proposal to strengthen supervision of high-risk brokers as too weak
Financial reform group calls on regulator to make more fundamental changes.
Finra gives first report on where it spent money collected from fines
Regulator says most of the money was spent on improving regulatory functions and compliance by member firms.
When it comes to the proposed SEC advice rule, words matter
The rule would create a second, non-fiduciary version of the term 'best interest.'
Morgan Stanley to pay $3.6 million penalty for failure to supervise adviser
SEC says firm did not have policies and procedures in place to prevent misuse of funds
Unpaid arbitration awards bill by Sen. Elizabeth Warren criticized at hearing
SIFMA, Republican senator take issue with requiring Finra to set up fund to pay claims.
Jim Nagengast, Securities America CEO, wins Finra board seat
He prevails over a candidate backed by Finra's board to fill one of three large-firm positions.
Mary Schapiro elected to Morgan Stanley board
Executive has served as the chair of the SEC, Finra and the CFTC
UBS to pay $4.3 million in Puerto Rico bonds claim
The claimant's broker at UBS has 183 disclosures on his BrokerCheck report.
Finra bars former broker over unsuitable alt investments, including REITs
Kyusun Kim also allegedly falsified elderly customers' wealth to allow sales
Finra panel orders Woodbury to pay customers $1.1 million
Arbitration panel says firm failed to supervise former broker's unsuitable transactions.
Former Finra analyst sues agency for age discrimination
Brian McIntyre says Finra laid off mostly older workers after it lost a regulatory contract with the NYSE in 2016.
New entry-level securities exam seen to benefit firms, job seekers
Securities Industry Essentials general knowledge tests begin Oct. 1, but there's still little awareness among the public about the opportunity.
