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Form U4s and U5s don’t always match up, but it’s still the advisor’s responsibility to be proactive, writes compliance expert Alan J. Foxman.
March 6
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The Senator wants to know what the SEC is doing to prevent harassment at banks.
March 5
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The rep borrowed $528,000 from a SunTrust client without the bank’s prior written approval, FINRA alleged.
March 1
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The advisor lured the client into investing $100,000 in what he claimed was a private placement bond but instead deposited the money into his personal bank account, say federal prosecutors.
February 27
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The advisor fleeced the duo of nearly $1 million by misappropriating their stock holdings and initiating unauthorized wire transfers from their bank account, prosecutors allege.
February 26
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The scrutiny puts a spotlight on a small corner of the $3.4 trillion ETF industry.
February 23
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The 84-year-old client wanted to preserve her wealth, but says her advisor made "unsuitable" asset allocations.
February 21
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New FINRA rules will help the wealth management industry do its part to identify and prevent elder abuse.
February 21
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The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.
February 20
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A FINRA arbitration panel concluded that the No. 1 IBD made false and defamatory statements in its U5 filings.
February 20
