Displaying 1932 results
Training firm boss ‘misappropriated’ exam questions: Finra
Finra claims a consultant's employees took tests to help prep clients on what would be asked in later exams.
Finra target wins board seat
Kevin Carreno, the lawyer who claims that Finra officials several years ago scuttled his chances to be Florida's…
Expungement ruling could have wide impact
A California appeals court ruling that makes it easier for brokers to expunge customer complaints and disciplinary actions…
Finra fights for U.S. troops
Life on the home front can be tough for military families, involving frequent moves, fluctuations in pay, and…
Longtime Finra exec stepping down
Luparello headed to law firm; sixteen years at the SRO
In re, BrokerCheck: SIFMA urges Finra to expand ‘in re expungement
Association wants to make it easier for brokers to clean up their official records
Hashtag slag: Next NAPFA boss calls Finra ‘colossal failure,’ B-Ds ‘dinosaurs’
Ron Rhoades, the next chairman of NAPFA, is not bashful about bashing folks on Twitter. Some choice cuts: The future boss of the financial advisers association recently called Finra a 'colossal failure,' and labelled B-Ds 'dinosaurs'.
War of ‘independence’
As the debate over a bill that would shift oversight of investment advisers from the Securities and Exchange…
Finra considers exemption process on CMA fee
The Financial Industry Regulatory Authority Inc. will consider an exemption process for its application fee for continuing membership.
Finra: Defunct firm, execs hid distress
WJB Capital Group Inc. and two of its top executives settled allegations that it masked the firm's financial…
Finra’s settlement with ex-Provident execs ‘slap on the wrist,’ says lawyer
Couglin, Harrison fined $50K each, suspended for two years; 27 firms that sold preferred shares have closed
SEC user fee bill faces steeper climb than SRO measure
Both on hold as House committee tries to reach consensus
Finra’s fee hikes will KO some smaller firms: FSI
Several industry groups have laced into Finra over the regulator's plan to hike its charges
Would-be candidates for Finra board criticize SRO
Three potential small-firm candidates for Finra's board are taking the self-regulatory organization to task for its shaky finances,…
Lawyer takes on Finra — and wins
Charges may have cost him a securities regulator job, but Kevin Carreno has battled years to clear his name.
Board candidates attack Finra
As the Finra board election campaign nears its end, three candidates for an open small-firm seat are criticizing…
Bachus reignites SRO debate
Less than two weeks after tabling the legislation he designed to shift regulation of investment advisers, House Financial…
Attorney who fought Finra — and won — wins seat on board
Carreno victorious in small-firm election; fended off enforcement action last year
Following Finra’s $84M loss, board election commences
Three candidates will be squaring off for an open small-firm seat on the board of the Financial Industry…
Finra board member quits after sanctions
Joel Blumenschein, an industry governor for the Financial Industry Regulatory Authority Inc., is no longer on its board.
