Compliance

Pinnacle Investments tapped Ami Forte despite her ongoing legal struggles with her former firm and Home Shopping Network founder Roy Speer’s estate.

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.

From inappropriate touching to belittling comments, women advisors confront workplace environments that are far from welcoming.

FINRA accused the advisor of unlawfully "structuring" a total of $77,560 by depositing cash into his bank accounts in amounts just below the $10,000 reporting threshold.

The commission is visiting far more advisors than just two years ago.

Religious groups threaten to withdraw shareholder proposal on the bank’s decision.

Form U4s and U5s don’t always match up, but it’s still the advisor’s responsibility to be proactive, writes compliance expert Alan J. Foxman.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

The rep borrowed $528,000 from a SunTrust client without the bank’s prior written approval, FINRA alleged.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

Compliance expert Alan J. Foxman explains why a 1035 exchange might trigger increased scrutiny.

Planners must make accurate disclosures about their service models, says the regulator.

New FINRA rules will help the wealth management industry do its part to identify and prevent elder abuse.

The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.

A FINRA arbitration panel concluded that the No. 1 IBD made false and defamatory statements in its U5 filings.

Battles will ensue over the Trump tax plan’s treatment of payments to former spouses.

Massachusetts regulators accuse the firm of running afoul of the impartial conduct standard by holding sales contests.

There’s a way to handle negative press about corporate misdeeds, says recruiter Mark Elzweig.

The firm invested the widow's money in oil and gas securities, real estate investment trusts and other investments that did not square with her conservative risk profile, her lawyer argued.

Come forward now or face penalties later, the regulator is warning advisors who failed to disclose conflicts of interest around high-cost mutual fund share classes.