FINRA

Not knowing a FINRA rule can’t save an advisor from statutory disqualification.

The IBD is one of three dozen firms the regulator has accused of failing to provide sales-charge waivers to eligible retirement plans and charities since 2015.

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.

Two advisors who joined Alex. Brown after the Deutsche Bank acquisition in 2016 seek to void the FINRA panel's arbitration decision in a court challenge.

A new FINRA initiative to root out breaches of supervisory rules on 529 plans provoked criticism from the IBD advocacy group.

By allowing disciplinary actions to be expunged from certificants’ records, the board is sabotaging its own efforts to raise industry standards.

Royal Alliance must pay more than $2.5 million to one ex-client while dealing with charges against the firm and a former rep by William Galvin’s office.

Regulator puts brokers on notice about its top concerns for 2019.

Our industry is not becoming more consolidated. It’s becoming more fragmented.

There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.

The SEC is running on a skeleton crew that effectively halts routine oversight.

Investigators say the onetime FiNet branch manager preyed on “particularly vulnerable” clients, including several with dementia.

The decision by Carson Group’s CEO came after a two-year examination of the business revealed some changes that needed to be made.

In this circus of an industry, what chance does an average investor have of finding somebody who will actually work on his or her behalf?

The regulator accuses her of misconduct; she says the agency is doing Morgan Stanley’s bidding.

The alleged supervisory lapses occurred over a five-year period, according to the regulator.

The certification could stop being the gold standard and become the requirement, if only the regulatory path were clearer.

A niece thought her aunt’s caretaker was stealing. How much can an advisor do?

Advisors from across 79 branches were involved in selling offerings to family members and other brokers, including stock in Facebook, General Motors, LinkedIn and Twitter.