FINRA

Frequent recruitment adds to the firm’s bench after stemming an outflow of talent late last year.

The former Edward Jones broker wanted to get back at his competitor for stealing a client.

Morgan Stanley and one of its advisors were ordered to return the entrepreneur's investment in two private placement funds totaling $536,000 and pay him $37,500 in compensatory damages.

Investigators say the broker spent his clients’ money on luxury cars and home improvements.

The effort will allow other critical resources to be focused on more substantive matters such as examinations and licensing requirements.

Compliance and technology hurdles have snarled firms’ efforts to address a longtime gripe.

Expenses are rising, but revenue is flat as the regulator holds off on raising member fees.

It’s not easy, but advisors who believe they were wronged can request their records be expunged, an expert says.

The regulator outlined the top priorities for 2018 examinations.

Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.

How advisors deal with grievances and arbitration can make or break a career.

The firm displayed inaccurate ratings for more than 1,800 equity securities to its brokers, supervisors and retail customers, FINRA alleged.

The rep used his own money to pay the customer the interest she expected on a brokered certificate of deposit.

As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

Among FINRA’s findings, it said the broker-dealer “unreasonably excluded” some employees who were handling customer accounts from email scrutiny.

The alleged failures stretched over a two year period, according to the regulator.

Regulatory decisions, whistle-blower cases and acquisitions will define wealth management in 2018, and the people here will be the decision-makers who remake the industry.

The broker engaged the client in 11 private securities transactions involving private equity and debt securities in companies spanning a wide variety of industries, FINRA alleged.

The duo recommended an investment strategy that was overly concentrated in four speculative equity securities to more than 50 customers, FINRA alleged.