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Treasury calls on financial regulators to coordinate cybersecurity oversight
Highlighting 'fragmentation and overlap,' department suggests establishing one lead agency to align federal and state efforts.
Finra CEO Robert Cook promises to give brokerages more guidance on overseeing rogue brokers
Initiative is part of an effort to crack down on brokers who move from firm to firm and put investors at risk.
Woodbury broker barred after recommending an unauthorized product
Lawrence M. Thomas refused to appear for testimony in connection with sales of the product.
Finra charges former Morgan Stanley broker with misleading client about account size
Kim Dee Isaacson also allegedly made unauthorized trades in the 71-year-old client's account.
Finra CEO Robert Cook keeps low profile — for now
While some give him high marks for his willingness to listen, other say it's time he put what he's heard into action.
Ex-Morgan Stanley rep investigated for trading abuses barred by Finra
Twenty-three year veteran Anthony Joseph Verzi decides not to testify during regulator's inquiry.
Rep barred for not disclosing $100 million in private transactions: Finra
Correction: An earlier version of this story incorrectly identified Securities America as the firm that employed Jim Seol.
Finra fines former Sterne Agee rep for VA violations
The Financial Industry Regulatory Authority has suspended a former Stifel, Nicolaus broker, for four months and fined him…
Finra censures and fines Sterne Agee for failing to supervise former CEO
Sterne Agee fired James Holbrook, Jr. in May 2014 for allegedly misusing company assets and spending lavishly on perks.
Former Morgan Stanley rep barred by Finra for concealing Venezuelan bond trades
John Batista Bocchino hid $190 million in transactions, creating fake account firms and tickets
How regulators will make or break the future of hybrid advisers
In many circumstances, commission-based services offer clients a more economical and practical way to meet investment goals.
Rep barred for paying credit card bills with client money
Former Wells Fargo broker consents to Finra ban for improper transfers from customer accounts.
Critics say Finra proposal on unpaid arbitration awards doesn’t go far enough
Finra president and chief executive Robert Cook promises organization will revisit issue.
Finra set to invest more in examiner training, provide more clarity on enforcement choices
CEO Robert Cook responds to concerns he's hearing during listening tour, Finra360 initiative.
Finra fines Merrill Lynch $650,000 for bond trading violations
Regulator censures firm for handling of customer orders for nonconvertible preferred securities
Crapo calls for ‘bipartisan, common-sense’ reform of financial regulations
Senate Banking Committee chairman says regulatory burden 'is becoming as big an issue as the tax code.'
Finra chairman John Brennan says DOL rule has raised standard for financial advice
Says fiduciary rule will become the 'way business is done' — even if it is repealed.
Finra slaps broker with six-month suspension for failing to report $1 million in tax liens
Kevin Graetz was also fined $10,000 for not updating U4s over seven years.
Finra reviewing rules on outside business activities and private securities transactions
As part of its review, Finra is seeking comments by June 29
Will the fiduciary rule shrink the ever-expanding world of share classes?
While T shares and clean shares are different, they could solve important pricing questions for the fund industry — and even obliterate many share classes.
