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The violations, which occurred from January 2009 through May 2017, affected approximately 95% of the firm's non-registered employees, according to FINRA.
November 21
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The rep used an unauthorized ATM card he secretly created to swipe $120 from a customer's bank account, FINRA claimed.
November 20
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The former United Planners' advisor conducted the sales without his firm's permission over nearly a decade, according to the regulator.
November 17
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Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.
November 15
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The board will release new proposed revisions and seeks additional public comments.
November 15
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A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.
November 15
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The SEC sought $3.4 billion in sanctions, the lowest total since 2013, according to data collected by a law professor at Georgetown University.
November 14
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The rep neglected to tell Wells Fargo that a 97-year-old client had named him as beneficiary and co-executor of her estate.
November 10 -
The regulator was looking into customer complaints and arbitration claims that rep engaged in unsuitable trading.
November 7 -
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.
November 6
