FINRA

The former broker is accused of making false claims about his client list at Stifel to earn a compensation advance from another firm.

FINRA alleged he communicated with customers about standby letters of credit and bank guarantees outside the scope of his authority.

The firm was fined $1.57 million and must pay clients another $1.85 million for related infractions, the regulator said.

FINRA fines Lincoln Financial Securities for foreign hack attack.

A friendly memo to help top regulators in the next administration set priorities. One key point: planners and fee-compensated IRAs are the least of your worries.

FINRA claimed the firm failed to adequately supervise the execution and approval of powers of attorneys submitted by non-U.S. customers of J.P. Morgan Private Bank.

Regulator comes down hard on compliance failures; additional $6.3 million must be paid back to investors.

A planner tells compliance expert Alan J. Foxman that he's concerned a court-appointed guardian is not acting in an aging client's best interests.

FINRA plans to add 1,000 new arbitrators this year to improve its troubled dispute resolution process, but offers few new details on some of its largest challenges.

The regulator is asking firms to provide details of their cross-selling programs, including incentives offered brokers and other employees.