FINRA

The firm provided some 82,400 initial and annual privacy notices to customers that were not compliant and in some cases provided no notices at all, FINRA claimed.

Investment advisors and broker dealers have different “relationship models” with clients, the chairman says.

A pen and paper or more advanced methods of documentation can save financial advisors from a variety of troubles.

How technology could continue to disrupt financial planning.

The regulator will save members tens of millions of dollars by helping them verify advisors’ Form U4 financial disclosures, Robert Cook says.

Firms are required to verify their procedures are reasonable, but they also must tailor their supervision to individual advisors, and sometimes that means crafting higher level of oversight for some people.

Banks such as UBS aim to offer money managers refuge from jittery markets by combining bonds with more exotic options.

The rep processed a $9,850 wire request from an imposter posing as a customer, even after the customer called to say that the request was not genuine, FINRA claimed.

Clients thought they were investing in real estate developments that would be flipped for profit.

The firm failed to accurately describe the costs and benefits of exchanging variable annuities and recommended exchanges without knowing if they were suitable, FINRA said.

The CFP Board’s new code of ethics should be celebrated for embracing the fiduciary concept — will the standards be strengthened even more in the future?

Overall, the advisor defrauded at least nine clients out of $1 million, which he used to pay for tuition and mortgage payments, federal prosecutors say.

In addition to being fired, advisors could also face suspension and fines — all from the carelessness of not carefully reading one simple question.

The Ponzi-like scheme used investor funds to pay other investors’ debts and cover personal expenses.

One topic under alleged examination is the monthly process through which prices of the benchmark’s futures contracts are calculated.

The dirty little secret about elder exploitation is that almost 60% of cases involve a perpetrator who is a family member, according to a 2014 study.

Miguel Ballestas was discharged from the firm after allegations of insider trading.

Allegations of undisclosed private securities transactions by a former advisor followed two significant mutual fund cases involving the IBD network’s practices.

The funds paid for multiple vehicles, bedroom furniture and debts at casinos, prosecutors say.

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.