FINRA

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.

The fintech's new products may violate several banking and securities regulations, industry officials say.

The regulator details numerous (and familiar) compliance failures in its annual summary of exam findings.

The rarely dinged firm joined peers grappling with two issues: mutual fund fees and supervision of advisors who've been sanctioned multiple times.

Data aggregators provide big advantages for RIAs, but criticism is mounting.

The regulator bills the move as the latest effort to bring transparency to the challenge of unpaid awards.

Be careful when giving gifts over $100 in value.

If you do not fully understand the regulations, you’re not alone.

Richard G. Cody, formerly of Boston Investment Partners, allowed his clients’ accounts to dwindle to almost nothing, according to the Justice Department.

FINRA has warned of phony calls and emails from impersonators.

The regulator is living up to its promise to overhaul exams and engage more — and one potential rule in the works would be “monumental," according to the IBD.