Displaying 1932 results
Betterment slapped with $400,000 fine from Finra
Robo-adviser cited for violating customer protection rule and not maintaining its books and records correctly.
Morgan Stanley settles confidentially with departing broker
Daniel Abel agrees not to solicit his former clients at the firm.
Finra bars broker for failing to provide information during investigation
Colorado broker Dennis Farrah quit firm before state regulators revoked his license.
Finra expels Dakota Securities for allowing suspended broker to work
Hearing panel also permanently bars broker Bruce Zipper for ignoring suspension.
Finra bars former Morgan Stanley manager for failing to supervise Home Shopping Network magnate’s account
Terry McCoy barred from working in a supervisory capacity and fined $75,000 for missing Ami Forte's churning of elderly client's account.
Former Morgan Stanley rep barred for using customer funds
Justin Mair says he 'mistakenly' paid his electric bill with client money.
Finra to overhaul broker information system, cut compliance costs for broker-dealers
The move is intended to cut compliance costs for firms as well as make the registration and disclosure process more efficient.
Head of Securities America gunning for Finra board seat
James Nagengast is challenging Finra's handpicked nominee, Shelley O'Connor, co-head of wealth management at Morgan Stanley.
First Allied rep fired for violating sales policies barred by Finra
Sean Aaron Brady failed to cooperate with Finra's investigation into the circumstances of his termination.
Cyber assailants targeted in important new security sweep
The skill and sophistication of attackers are often outpacing firms' ability to protect themselves.
Finra panel awards Oppenheimer client $800,000 in damages
Found firm executed unauthorized and unsuitable trades in client's accounts.
Finra bars former Bancorp rep for taking almost $106,000 from client
John Douglas Wade 'converted' funds from clients' accounts for his own use.
Finra orders broker to pay First Command $105,000 in damages
Case involves former broker John Velez in Tucson, Ariz.
Finra bars rep under investigation for client forgery
Formerly of Northwestern Mutual, Donnell Noah Bowen failed to appear at his hearing.
Broker fired over VA exchange irregularities barred by Finra
Ellen Vratoric twice failed to appear at Finra inquiries into VA exchange.
Former Transamerica broker assistant barred for forging customer signature
Francis Acosta signed customer's name on forms requesting account transfers.
Sen. Warren gets Republican cosponsor on bill to fund unpaid arbitration awards
Legislation requires Finra to establish a fund, financed by its own fine money, to cover amounts firms and brokers fail to pay.
Former Ameriprise rep barred for unauthorized trades
Maria Tamburro also failed to respond to Finra requests for information.
Meet William Glubiak, CEO of $2 billion firm Cedar Brook Group
He's pursuing an aggressive growth strategy and learning from past mistakes.
Finra panel awards couple $800,000 in case against Oppenheimer
Says firm was negligent in case involving energy stock selection.
