FINRA

Advisors should address client issues in-house, which sometimes means taking a hard look at supervisory controls, regulators say.

Reps recommended complex investments without restrictions, the regulator said.

It's a bigger challenge to keep pace with a fast changing industry, CEO Robert Cook said.

The regulator claimed he sold $2.63 million in equity-indexed annuities without disclosing the business to his employer, U.S. Bancorp Investments.

The change could alleviate firms’ recruiting worries that they must pay trainees to spend the first few months studying.

Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.

The storm devastated Puerto Rico, which has seen a surge of client complaints.

The wirehouse failed to properly supervise more than $33 billion worth of UIT transactions, according to FINRA.

The rep purportedly received an email from the impostor requesting that she sell securities to fund the wire request to a third-party in the United Kingdom.

New FINRA guidelines lay out the consequences.