FINRA

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A FINRA arbitration panel dismissed the firm's claims but charged the broker more than $11,000.

The regulator skips creating a fund for investors with unpaid arbitration claims, despite raising hopes that it might.

The regulator not only aims to stiffen penalties against bad actors, but also the firms that hire them.

Regulatory direction on mobile communication shows why advisers need to be careful about hyperlinking information.

Regulators have revealed what kind of issues advisors must address if faced with a review.

Three firms have fired the broker, whose former clients have won $494,000 in settlements.

The rep argued that the money she received was not a loan but rather the proceeds from the sale of her tractor to the customer.

The broker’s written promise of 7% returns on a variable annuity made for a simple case, the lawyer for the claimant says.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

The rep declined to provide the regulator with documents it needed to investigate allegations that she converted $13,000 for personal use.

The firm won a rejection of her $1 million claim, promissory note damages, legal fees and interest.

The regulator now has punished just one known person associated with the bank's admitted nationwide fiduciary violation: the RIA who flagged abuses.

The rep was suspended for 15 months and fined $15,000 for engaging in the purported scheme and accepting a $50,000 cash gift from a customer, FINRA claimed.

Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.

The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.

A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.

Customers who were eligible for Class A shares in certain mutual funds without a front-end sales charge were either not given the sales charge waiver or sold more expensive Class B or C shares, FINRA claimed.

Firms will be permitted to place a temporary hold on disbursements of funds when there is reasonable belief of financial exploitation.

The regulator suspended the rep for two months and fined him $5,000 for keeping the firm in the dark about his dry-cleaning business.