Compliance

New digital currencies are subject to little or no regulation, the investor protection watchdog cautions.

Complaints lodged against the firm through Dec. 15 dropped 18% from the same period of 2016, federal figures show.

Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.

Brokerages have broken ranks in recent weeks over whether to facilitate clients’ bets on bitcoin amid widespread concern that it’s a bubble or that the cryptocurrency’s price is potentially susceptible to manipulation.

Special interest groups may weaken the Department of Labor’s best interest standard. Here’s why that’s bad for financial planners and their clients, according to one expert.

Deals have heated up. Can the rapid pace continue?

How advisors deal with grievances and arbitration can make or break a career.

The firm displayed inaccurate ratings for more than 1,800 equity securities to its brokers, supervisors and retail customers, FINRA alleged.

Products that best fit clients would have to be offered before those that are most profitable to the sellers, the New York Department of Financial Services said.

The rep used his own money to pay the customer the interest she expected on a brokered certificate of deposit.

As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

Caleb Fackrell repeatedly called his behavior “insane” in his testimony, according to transcripts obtained by Financial Planning.

The scheme ensnared about 8,400 investors, the regulator says.

Among FINRA’s findings, it said the broker-dealer “unreasonably excluded” some employees who were handling customer accounts from email scrutiny.

To get in on hot IPOs, a client delivered cash payments to the broker at bars and restaurants, the regulator alleges.

The need to eliminate complexity, boost transparency and create efficiencies is stronger than ever.

The alleged failures stretched over a two year period, according to the regulator.

Regulatory decisions, whistle-blower cases and acquisitions will define wealth management in 2018, and the people here will be the decision-makers who remake the industry.

The broker engaged the client in 11 private securities transactions involving private equity and debt securities in companies spanning a wide variety of industries, FINRA alleged.