FINRA

How to report a transaction that should have been disclosed to regulators long ago, but wasn’t.

FINRA released internal data in the regulator’s first-ever such report, highlighting changes in the wealth management space.

Violating this FINRA rule has extremely serious consequences including termination and disciplinary action.

Firms designated as “taping firms” due to the high number of brokers they hired from disciplined firms may soon have their status as taping firms disclosed in BrokerCheck.

An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.

The dispute pits four advisors against big Wall Street names: Wells Fargo, Morgan Stanley, Raymond James and Merrill Lynch.

The firm filed a motion arguing one of its ex-brokers did not challenge the proceedings until after the panel ruled against her.

The regulator accused the four firms and the Advisor Group network of supervisory failures in sales of L-share VAs in separate but near-identical cases.

At least 17 individuals invested $13 million in the scheme, and many lost 'substantial portions' of their life savings, prosecutors say.

The funds allegedly paid for summer camp fees and a 1976 Corvette.