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Finra proposes further restrictions, supervision of high-risk brokers
Proposals would allow restrictions and supervison to be imposed while disciplinary action is still being decided.
Finra should let brokerages decide whether to supervise unaffiliated RIAs, FSI says
But dually registered advisers back the regulator's effort to get broker-dealers out of their hair.
A pat on the back for progress, but Finra has a long way to go
Regulator has chalked up some welcome changes, but the work is not done.
Finra’s Board of Governors lacks transparency, critics say
Despite having made some changes, calls for more open meetings persist
One year later, is Finra 360 working?
A year after launching its self-examination, the regulator is getting both praise for its efforts and calls for more concrete results.
UBS whistleblower told he doesn’t get protection from firing
Craig Price's testimony to Finra about a colleague's behavior doesn't qualify for Dodd-Frank shield, court says
Finra touts improvements during first year of Finra 360 operational review
Critics say the changes so far don't go far enough.
Finra proposes to widen net for churning violations
Under new rule, brokers would not have to have control of account to be found liable.
Arbitrators award Morgan Stanley $6 million from former broker
Finra panel says barred rep Barry Connell must pay compensatory damages.
SEC bars adviser charged with stealing more than $1 million from clients
Scott Newsholme faces 20 years in prison and $500,000 in fines.
Brokerage firms can improve diversity by making it a priority
At a Finra summit, Vanguard executive said any firm can be more inclusive with dedication and intensity.
Finra bars no-show broker in New Jersey
Broker attended partial day of hearing, then declined to show up for the rest.
Finra bars broker it was investigating for fraud
Steven Pagartanis, a hearing no-show, had been discharged by Lombard Securities.
Deutsche Bank rep fined $5,000 for role in outside medical marijuana business
Finra also suspends Mina Mishrikey for three months
Finra bars former rep for not providing requested information
Regulator was investigating Kevin Lee's possible undisclosed business activities.
Finra bars no-show former Janney broker
Customers alleged Scott W. Palmer made unsuitable energy stock recommendations.
Finra fines Park Avenue Securities $300,000 over variable annuity sales
Also censures firm, which agrees to review its supervision practices.
Finra taps former Schwab exec Bari Havlik to replace Susan Axelrod in top cop job
Ms. Havlik will oversee Finra's surveillance and examination programs.
UBS, broker to pay $805,000 in Finra award
Arbitration award of $805,000 just the latest in a series of payments Michael James Keane had to pony up to settle customer complaints.
Finra, looking into trading activity, bars no-show broker
William Brunner had resigned from Investment Planners Inc. last May.
