Compliance

FINRA says the firm did not disclose necessary client issues or hacking attempts.

The regulator proposed a "clear and concise" summary for clients considering the products, but the impact appears limited.

You must not overlook important cybersecurity protocols for protecting your email.

Researchers from top business schools studied arbitrator selection, as shown in nearly 9,000 cases filed by clients over a 27-year span.

When two agencies are probing your firm, it doesn’t hurt to ask that they coordinate their efforts.

A petition to vacate the award was denied by a federal judge.

Enforcement actions against IAs and reps at the state level soar in 2017, according to NASAA report.

Can FINRA suspend the advisor’s license?

Dick Lampen says the SEC charges against Dr. Phillip Frost, the firm’s primary shareholder, won’t affect its “significant” other resources.

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

Under SEC rules, an advisor was statutorily disqualified after driving under the influence. Can he ever register with a brokerage again?

Dr. Phillip Frost, the principal shareholder of the IBD network’s parent firm, has stepped down, giving way to CEO Richard Lampen.

Regulators in Massachusetts launched a “sweep” of more than 60 firms that sold nearly $1.3 billion in limited partnerships sponsored by GPB Capital.

The IBD’s advisors did not understand investments they sold to clients, the SEC says.

The agency says the biotech magnate and nine others made $27 million pumping up penny stocks.

How to report a transaction that should have been disclosed to regulators long ago, but wasn’t.

A settlement with Massachusetts regulators resolved a nontraded REIT case, but NPH’s terminations from FINRA and a handful of states are still pending.

The SEC says the 33% owner of the parent of the IBD network participated in unlawful microcap stock sales resulting in “virtually worthless” investments.

In response to a Supreme Court ruling, the regulator will revisit 126 legal proceedings, including nearly two dozen advisor cases.