FINRA

Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.

The storm devastated Puerto Rico, which has seen a surge of client complaints.

The wirehouse failed to properly supervise more than $33 billion worth of UIT transactions, according to FINRA.

The rep purportedly received an email from the impostor requesting that she sell securities to fund the wire request to a third-party in the United Kingdom.

New FINRA guidelines lay out the consequences.

The practice left its BD less than a year after John Hancock acquired Transamerica Financial Advisors.

The broker declined to appear for on-the-record testimony regarding expense reimbursements that SunTrust alleged were not valid expenses, according to FINRA.

In recruiting more women and minorities, the regulator aims to reshape its homogeneous roster of arbitrators.

The broker recommended that a recently retired couple invest $135,000 in a non-investment grade municipal bond intended only for sale to institutional buyers.

How to stay out of trouble if a customer praises your investing prowess on your site.