FINRA

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.

Digital advice is vulnerable to bait-and-switch and choice manipulation schemes.

"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.

The rep neglected to tell Wells Fargo that a 97-year-old client had named him as beneficiary and co-executor of her estate.

"Data analytics is critical," says FINRA's chief risk officer.

The regulator was looking into customer complaints and arbitration claims that rep engaged in unsuitable trading.

The award marks the largest of its kind this year.

The senior's investments were overly concentrated with as much as 95% of her portfolio invested at times in oil and gas master limited partnerships.

FINRA rejected the advisor's claims as the firm resolved two longstanding compliance issues.

Susan Axelrod will leave the self-regulator after 28 years on the job.