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The broker’s written promise of 7% returns on a variable annuity made for a simple case, the lawyer for the claimant says.
April 21 -
On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.
April 20 -
The rep declined to provide the regulator with documents it needed to investigate allegations that she converted $13,000 for personal use.
April 18 -
The firm won a rejection of her $1 million claim, promissory note damages, legal fees and interest.
April 13 -
The regulator now has punished just one known person associated with the bank's admitted nationwide fiduciary violation: the RIA who flagged abuses.
April 12 -
The rep was suspended for 15 months and fined $15,000 for engaging in the purported scheme and accepting a $50,000 cash gift from a customer, FINRA claimed.
April 11 -
Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.
April 5 -
The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.
April 4 -
A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.
April 3 -
Customers who were eligible for Class A shares in certain mutual funds without a front-end sales charge were either not given the sales charge waiver or sold more expensive Class B or C shares, FINRA claimed.
April 3