FINRA

Can FINRA suspend the advisor’s license?

It’s another example of how impactful an update to broker standards of conduct could be.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

Under SEC rules, an advisor was statutorily disqualified after driving under the influence. Can he ever register with a brokerage again?

Regulators including FINRA are looking at ways to help spur innovation.

The IBD’s advisors did not understand investments they sold to clients, the SEC says.

Lehman Brothers had collapsed. Panic, instability and a recession followed. Ten years later, the lessons from that era echo even more resoundingly.

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.

The dispute centered on the firm’s handling of Puerto Rican municipal bonds.

When do promotional materials rise to the level of an official “recommendation” and thereby require additional disclosures by brokers?

The rep helped the customer conceal the true source of funds into his accounts, FINRA claimed.