FINRA

Does holding a CFP, ChFC or CFA correlate to better client service? At last, hard evidence shows that clients do better with designated planners.

A FINRA arbitration panel ordered the broker to give back the bulk of his $675,000 signing bonus to SunTrust.

In a complaint filed in federal court, PNC fired back at the hearing panel, saying that it exceeded its authority by disregarding the law.

Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.

C.L. King & Associates argued it did not break any FINRA rules.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

One refused to cooperate with an investigation into allegations that he engaged in unauthorized trading in two customers' accounts.

The regulator wants the exam process to be a dialogue with firms and advisers.

Robert Cook detailed his multi-year overhaul aimed at easing compliance, revisiting old rules and rooting out bad actors.

Former Vanguard CEO Jack Brennan says the Labor Department has already succeeded in swaying firms and investors over to best-interest advice.

Learn which occasions mandate disclosure. Also, is political activity allowable at the office?

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.