Tag: FINRA

The Financial Industry Regulatory Authority (FINRA) said today that it has barred Tamara Lanz Moon of Redwood City, California, from the securities industry for stealing more than $850,000...

The Financial Planning Association (FPA) argues that the Securities and Exchange Commission (SEC), rather than the Financial Industry Regulatory Authority (FINRA), should regulate financial planning activity.

Morgan Stanley Smith Barney (MSSB) became the latest wirehouse to put its foot down on exchange-traded funds (ETFs).

The Financial Industry Regulatory Authority (FINRA) has fined Ameritas Investment Corp. $100,000 and suspended and fined one of its brokers for inducing customers to take on additional home...

The Financial Industry Regulatory Authority (FINRA) said it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc. and UBS, as well as some Merrill brokers, for supervisory failures...

As part of an ongoing investigation, the Financial Industry Regulatory Authority (FINRA) has permanently barred a former registered representative with AXA Advisors, LLC, for conducting a Ponzi scheme.

The Financial Industry Regulatory Authority (FINRA) said it fined five bank broker/dealers a total of $1.65 million for deficient supervision and procedures related to variable annuity (VA), mutual...

The Financial Industry Regulatory Authority (FINRA) is pegging a $1.4 million fine on Wachovia Securities for its failure to deliver prospectuses and product descriptions to customers who purchased...

The Pennsylvania Securities Commission (PSC) said it offers background information of brokers and investment advisers for consumers.

The Financial Industry Regulatory Authority (FINRA) released two online tools designed to help investors spot and resist investment fraud, the agency said.