FINRA

FINRA claimed he intentionally structured 10 cash deposits totaling $50,000 in five personal bank accounts in amounts under the $10,000 currency transaction reporting threshold.

The former rep refused to comply with a FINRA investigation into allegations that he exercised influence over an elderly woman.

The rep impersonated an elderly customer in an attempt to move his retirement account from a rival institution, the regulator charged.

Regulation SP lays out the guidelines. In addition, just how many texts does a firm need to save?

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

The adviser refused to provide the regulator with the documents it needed to investigate allegations that he converted funds from a bank customer.

The firm has collected more than $1.1 million in arbitration cases so far this year.

Regulators now use deeper dives into specific areas rather than broad probes, experts say.

The rep was suspended for 18 months and fined $7,500 for allegedly adding his wife as a 50% primary beneficiary to a customer's variable annuity without the customer's knowledge.

Approximately $4,500 was used to sponsor a cricket club via a shell company, authorities say.