Regulatory actions and programs

The request foreshadows how the senator will attempt to influence the next president's cabinet and other key nominations.

News that LPL may be looking for suitors comes at a time of financial pressure for the country's largest independent broker-dealer.

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.

The Wells Fargo scandal has given the sale of loan and bank products a bad name, but experts say that, done right, it is a crucial revenue driver.

Dupree Financial Group was censured for shortfalls that firm's founder insists were not indicative of a lax compliance culture.

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 main objection seems that regulators just don't like the unseemly business of selling products to customers who might not want them.

Employees inflated new client assets managed from the fourth quarter of 2011 to 2012 to meet sales targets, according to the regulator.

A firm contest incentivized about 30 advisers to push lending products to clients and created conflicts of interest, according to officials.

The first-ever case of its kind is putting other broker-dealers on notice about the regulator's enhanced abilities to identify patterns of abuse.