FINRA

Rather than learn from the mistakes exposed regarding false listings of advisors’ “fee-only” status, the board doubled down on looking the other way.

At least two clients said they received calls from the advisor where he discussed his departure from the firm, according to the complaint.

The certifying body says it will no longer rely on advisors’ reports and it is convening a new task force to modernize enforcement.

There are red flags that may be pointing to elder fraud in a client account.

The bank will pay $1.25 million for alleged supervisory failures.

Advisors and their firms should be prepared for how they will respond to expanded fiduciary responsibilities under new standards.

The SEC and FINRA say they’ve held a series of discussions with market participants on how decades-old custody rules might apply to virtual coins.

The chairman says the commission is working closely with FINRA on inspection plans to hold brokers to account.

Summit Brokerage Services wasn’t feeding the notifications into the transactions blotter while its ownership went into flux, according to the regulator.

Robert Cook’s pay far outshines that of other SRO chiefs.