FINRA

"Sunlight is the best disinfectant," investor advocate says of regulator's move to keep disciplinary problems in public view.

Advisors should expect more regulatory requirements, enforcement actions and uncertainty in 2018, experts say.

Technology costs money and takes time, but the benefits are well worth it, Nina O’Neal writes.

The bank's retail brokerage business sold customers shares in mutual funds with front- or back-end sales charges when they were eligible for Class A shares that waived the upfront sales load, FINRA claimed.

The violations, which occurred from January 2009 through May 2017, affected approximately 95% of the firm's non-registered employees, according to FINRA.

The rep used an unauthorized ATM card he secretly created to swipe $120 from a customer's bank account, FINRA claimed.

The former United Planners' advisor conducted the sales without his firm's permission over nearly a decade, according to the regulator.

The wire fraud charge came nearly four years after the CFP Board revoked his certification.

The firm previously accused its former employee of using company stationery to continue to pass herself off as an Ameriprise advisor.

A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.