FINRA

How often should CCOs pay a visit to branch offices?

The defrauded clients included the advisor’s own in-laws, who had suffered from Alzheimer’s and a debilitating stroke.

The Massachusetts senator is struggling to get data that shows how bad sexual harassment might be on Wall Street.

Timothy Scheve will complete the term of John Thiel, the former head of Merrill Lynch, who left FINRA's board earlier this year.

The claim alleged negligence, fraud and misrepresentation, according to the regulator.

Former CEO Mark Casady disclosed in arbitration testimony what led to the firing that resulted in a $30 million claim against the firm.

The self-regulatory body says working with data aggregators increases the risk of cyber fraud, unauthorized transactions and identity theft. But aggregators say other links in the information chain are more vulnerable.

Advisors should conduct a comprehensive suitability analysis before initiating 1035 exchanges.

When your client is a foreign national, it pays to find out if the same regulations apply.

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.