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The scrutiny puts a spotlight on a small corner of the $3.4 trillion ETF industry.
February 23
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The 84-year-old client wanted to preserve her wealth, but says her advisor made "unsuitable" asset allocations.
February 21
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New FINRA rules will help the wealth management industry do its part to identify and prevent elder abuse.
February 21
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The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.
February 20
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A FINRA arbitration panel concluded that the No. 1 IBD made false and defamatory statements in its U5 filings.
February 20
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A recent scam involved a fake signature from FINRA CEO Robert Cook.
February 16
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Thomas Buck spent 33 years with Merrill Lynch before he was fired in 2015.
February 14
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The firm invested the widow's money in oil and gas securities, real estate investment trusts and other investments that did not square with her conservative risk profile, her lawyer argued.
February 13
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Investor advocates laud regulator's newest steps to address the longstanding problem.
February 9
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The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.
February 8
