Regulatory actions and programs

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

Be aware of changes to retirement savings plans and alimony. Here’s what clients and advisors need to know.

Authorities say the now barred broker concealed his fraud through a variety of methods, including by creating falsified tax forms and lying to accountants.

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.

The duo recommended an investment strategy that was overly concentrated in four speculative equity securities to more than 50 customers, FINRA alleged.

The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.

The former broker met some of his roughly 60 victims through his associations with the NFL and the University of Virginia, where he also played football, federal prosecutors said.

Bradley Mascho helped Bennett defraud at least 46 investors, including many seniors, the regulator charges.

A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.

The bank's retail brokerage business sold customers shares in mutual funds with front- or back-end sales charges when they were eligible for Class A shares that waived the upfront sales load, FINRA claimed.

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

The rep used an unauthorized ATM card he secretly created to swipe $120 from a customer's bank account, FINRA claimed.

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

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.

The board will release new proposed revisions and seeks additional public comments.

A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.

The SEC sought $3.4 billion in sanctions, the lowest total since 2013, according to data collected by a law professor at Georgetown University.

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

The regulator was looking into customer complaints and arbitration claims that rep engaged in unsuitable trading.

The senior's investments were overly concentrated with as much as 95% of her portfolio invested at times in oil and gas master limited partnerships.