FINRA

A FINRA arbitration panel awarded former clients of First Allied Securities the full damages they requested in the case.

Barred ex-broker Louis Cook allegedly targeted older adults whose assets he promised to protect for long-term care.

Fusion Analytics Securities sold $1.8 million in bonds and collected 8% commissions while making material misrepresentations, the regulator says.

SEC, FINRA and legislators are set to plant significant flags on the quickly evolving asset class’ landscape.

Worden Capital’s barred CEO allegedly had an “oral agreement” with a private placement issuer that he didn’t disclose to the firm’s brokers or its clients.

Arbitrators granted the wirehouse damages for payment of a promissory note but slammed the conduct of a “management-level employee.”

A law firm’s analysis of what the self regulator is doing to rein in bad brokerages and advisors marshalls data not easily found.

A judge’s decision puts new pressure on the brokerage industry watchdog and the SEC.

The firm and a former rep recommended a course of actions that helped the wirehouse and hurt the customer, according to the FINRA arbitration case.

A former Chase bank-based financial advisor won the arbitration award as critics say giant brokerages abuse U5 termination disclosures.