Compliance

The violations, which occurred from January 2009 through May 2017, affected approximately 95% of the firm's non-registered employees, according to FINRA.

The former United Planners' advisor conducted the sales without his firm's permission over nearly a decade, according to the regulator.

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 rule’s impact could be “devastating if independent research ceases or is significantly diminished,” the manager warns.

Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.

The breach follows other developments that have made offshore planning methods less attractive.

Even those who don’t work for Morgan Stanley could find themselves in a Catch-22.

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

Clients using FundKeeper can open new accounts, perform automated suitability checks and support level load funds under a single platform.

The award marks the largest of its kind this year.

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

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

The advisor reportedly sold $48,500 worth of securities in a purported computer products wholesaler without disclosing the transactions to his then employer, J.P. Morgan Securities.

The rep used an unauthorized ATM card to withdraw $1,000 from a bank customer's account, FINRA claimed.

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

The independent broker-dealer’s executive team hopes the SEC works with the DoL to develop an industry standard.

State administrators find reason for scrutiny in advisors’ increasing use of flat fees.

IHT Wealth Management now has $2.4 billion in client assets.

Advisors should address client issues in-house, which sometimes means taking a hard look at supervisory controls, regulators say.