FINRA

The regulator proposes new rules to protect aging clients.

The wirehouse agrees to pay a $2.8 million fine after the regulator discovers the bad reporting went on for years.

The adviser claimed PNC falsely accused him of not having met with two clients for their annual review and challenged the firm for writing him up for falsifying documents.

Firms should consider focusing on nuts-and-bolts issues like marketing and suitability of products if they want to avoid being the subject of FINRA disciplinary actions.

The firm failed to promptly liquidate his $3 million brokerage account, the client's lawyer argued during the hearing.

While employed at Huntington National Bank, the broker recommended a couple invest $350,000 — the bulk of their net worth — in two unit investment trusts, according to FINRA.

The regulator has filed a complaint against whistleblower Johnny Burris, who has filed multiple cases against one of its largest member firms, JPMorgan.

The firm failed to detect one of its registered representatives converting $370,000 in client funds for the rep's own use, according to the regulator.

Regulators should step up their inspections of digital advisers as these tools surge in popularity, the firm said.

The Swiss firm alerted brokers that they may take their disputes to FINRA instead of resolving them in a private forum set up by the company.

The regional brokerage is the latest to incur a penalty for failing to waive fees on Class A shares sold to eligible institutional clients.

The case is the latest related to alleged misconduct by a barred wirehouse broker who was also a nightclub owner.

The adviser was also ordered to pay $300,000 to cover Wells Fargo's legal fees.

Risk aversion is what everyone thinks about first, and getting the lawyers involved is what everyone thinks about second.

Edward Wedbush allegedly failed to supervise mandated regulatory filings.

The adviser, who was ranked in On Wall Street's Top 40 Under 40, is accused of conducting more than $1 million in private security transactions without notifying his employer, Hilliard Lyons.

The regulator sanctioned the brokerage firm for supervisory failures that stretched over a nearly two year period.

Client claimed that adviser's recommended strategy earned fees and commissions for the bank but wrecked his inheritance from his great grandfather.

Arbitrators for the regulator also awarded an expungement to Dale Cebert, who claimed a campaign to damage his reputation followed his termination from the wirehouse.

The Wall Street regulator says the firm repeatedly ignored red flags for years.