FINRA

The regulator is asking for adoption of the proposal it put on hold last year while opening discussions for other improvements to the process.

Whether it's a watchdog or up-and-coming advisor, claims and counterclaims are plentiful across the industry.

First Horizon Advisors resolved a supervisory investigation involving a former rep after its parent firm announced it’s being purchased for $13.4 billion.

The FINRA arbitration decision omits any details or reasoning for the award in a case involving a broker’s email to his former colleagues.

With the barred former rep in the Dominican Republic, a court filing asks a state judge to toss a FINRA panel’s decision absolving the firm of responsibility.

Once facing scrutiny for its relationship with a previous majority shareholder, the firm settled the regulator’s allegations about an issuer it called “Company A.”

UBS brokers rack up expungements of Puerto Rico complaints

Denise Badgerow won her long legal fight, while a Pennsylvania RIA and the Massachusetts securities regulator are currently weighing their options after decisions.

Financial advisor Jay Womack won a rare rebuke with a punitive payout after a messy split with his former business partner.

Alpine Securities will seek to overturn a FINRA finding that it saddled clients with “unreasonable” fees and converted accounts without authorization.