Displaying 1932 results
Finra expands crackdown on rogue brokers
Regulator will also start looking at brokers who work alongside high-risk brokers or associate with them.
House approves legislation to help advisers combat senior exploitation
The Senior Safe Act provides liability protection for financial professionals who report cases of suspected elder abuse to regulators or other authorities.
Finra should fix budget shortfall by tackling expenses
The agency must adjust to the shrinking number of B-Ds.
Finra elder-abuse rule could trigger delicate conversations between brokers, clients
Regulation taking effect Feb. 5 requires reasonable effort to find trusted contact, allows brokers to stop fund disbursement.
Finra arbitrators award $878,712 to broker wrongfully terminated by Ameriprise
But suspension remains in effect until April
Finra suspends, fines broker for posting fake sex ads
Paul Betenbaugh admitted to impersonating a former Edward Jones colleague on Craigslist to disparage the competitor.
Finra arbitrators award more than $4 million in case against rogue broker
The settlement would make the harmed investors whole, but can they collect?
Finra launches helpline for small-firm members
Broker-dealer regulator calls it an outcome of a Finra360 self-examination.
Cutting through the red tape of adviser regulation is tricky
Don't expect a simple rollback of rules under the Trump administration in 2018 — instead, regulators are on pace to bolster financial adviser oversight.
State measures to prevent elder financial abuse gaining steam
A growing number of states are looking to pass rules preventing exploitation of seniors.
Finra releases budget for first time, foresees declining operating revenues
Regulator reveals plans to hold senior officer salaries flat, and other financials, in transparency effort.
Former Investors Capital rep barred by Finra
Regulator was investigating Matthew Peregoy's possible misuse of funds.
Finra, investigating misuse of funds, bars former Edward Jones rep
Matthew Kerby declined to participate in hearing looking into allegations.
Finra bars former Morgan Stanley rep over hearing no-show
Regulator set to inquire about Guillermo Valladolid's alleged outside activities.
Finra bars broker involved with Dawn Bennett
Bradley Mascho already charged by SEC with abetting fraud.
Fiduciary groups urge SEC to prevent brokers from using ‘adviser’ title
Comment letters from the Committee for the Fiduciary Standard and the CFA Institute suggest the clarification is needed to differentiate brokers from investment advisers.
Finra panel awards investor $1.67 million in churning case
Broker David Lloyd Barber and Madison Avenue Securities to pay all fees, costs.
Finra bars fired Ameriprise rep for churning accounts of elderly
Larry Boggs exercised discretion in five accounts without written authorization.
Finra warns brokers about moving clients from broker to advisory accounts
In 2018 exam priorities, regulator says not to sell clients high-fee products and then move them into advisory accounts.
Finra fines Meyers Associates $700,000 over sales literature
Bruce Meyers also fined $75,000 for supervision failures and barred from serving as a principal or supervisor.
