FINRA

Former San Diego Chargers guard Kris Dielman says the independent broker dealer failed to supervise his former advisor.

A FINRA arbitration claim followed an asset freeze and the launch of a federal investigation into the fired advisor’s RIA.

Can an RIA take the first bite of the apple when it comes to a dually registered rep’s brokerage commissions?

Brian McIntyre said the regulator mostly sought to terminate older workers in a September wave of firings after FINRA lost a regulatory contract with the New York Stock Exchange in 2016.

Technology advancements aside, navigating the new regulatory requirements still takes work.

The firm arranged to make transactions differently on the days that it was required to calculate its reserve deposits, the regulator says.

Her fresh criticism comes after FINRA barred her former Morgan Stanley branch manager this week.

Prosecutors are presenting evidence of his training in securities markets to show that he'd likely know the information was purloined.

The client, who was the co-founder of the HSN, suffered from dementia and was declared legally incompetent, according to a FINRA letter of acceptance, waiver and consent.

Fiduciary advocates lament the absence of the term from the SEC's rule, which they say fails to move beyond FINRA’s existing suitability standard, while the brokerage sector sees the proposal as a welcome jump in oversight.