FINRA

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.

Maybe not, says FINRA — but if you’re IM’ing, using slides during the virtual meeting, or recording it, probably yes.

While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.

Unclear — or no — disclosures were among a number of concerns regulatory officials expressed about initial examinations.

Although in-person hearings aren’t banned outright, none have taken place since the onset of the coronavirus pandemic.

The regulator would generate an additional $225 million per year from the fee increases.

The advisor allegedly carried out a 20-year scheme defrauding at least 15 clients through forgery and misrepresentations.

Based on the “forced experiment” of its remote periodic examinations of broker-dealers, the onsite portion “may not be necessary,” Robert Cook said.

CEO Robert Cook has launched a task force and started assessing his own actions, he said in a panel at the Quad-A Vision conference.

Sales are tumbling and gravitating to different products as Wells Fargo settles a FINRA case and researchers examine the defunct fiduciary rule.

Regulators will conduct surveys and sweep exams to assess how your firm’s BCP handled — or didn’t — the COVID-19 pandemic

Yes, they’ll be going up in September — but not as much as you may have heard.

During rapid growth, the firm allegedly failed to detect a cascade of red flags.

The number of advisors registering with FINRA has fallen since 2016, as more planners elect a fee-only model.