FINRA

Does a poor stock pick, for instance, constitute a sales practice violation?

A dead client, an advisor accused of murder and fraud, and an industry that didn’t see it coming.

Letters sent to reps ask for extensive information on why they applied for a loan, how funds were received and used, and all compensation under the federal program.

SA Stone Wealth Management representative Gregory Frank Estes had already registered as a sex offender after a 2002 conviction, records show.

The 25-year industry veteran of four wealth managers and a trust company faced a charge of unlawful entry on public property.

Two former FINRA employees are joining the fast-growing brokerage app.

The firm’s use of third-party compliance vendors came under scrutiny after an ex-rep pleaded guilty to bilking clients out of $5 million.

In the first wave of cases under the regulator’s self-reporting initiative, it garnered more than $2.7 million in payments of restitution plus interest.

The wealth manager whose parent firm also owns an insurer and asset manager settled its third case involving the same time period.

Despite pledges, the IBD network didn’t collect enough data for suitability reviews of the outside transaction for more than five years, according to the regulator.