Tag: FINRA

The Financial Industry Regulatory Authority (FINRA) said that supervisory failures at MetLife Securities allowed two brokers to engage in undisclosed outside business activities that cost clients millions of...

The Financial Industry Regulatory Authority (FINRA) will make records of final regulatory actions against brokers permanently available to the public through the BrokerCheck service.

Rick Ketchum, chairman and CEO of the Financial Industry Regulatory Authority (FINRA), said the agency has formed a task force to examine how regulation can welcome new forms...

The Securities and Exchange Commission (SEC) is taking a hard look at retirement products, including the positioning of target-date funds.

We all know that there’s no such thing as a free lunch – a lesson that a group of older investors is now learning the hard...

Northwestern Mutual Investment Services, LLC, City Securities Corporation, and Fifth Third Securities, Inc., are the latest firms to settle charges with FINRA over the sale of auction-rate securities...

The Financial Industry Regulatory Authority (FINRA) will implement increased margin requirements for leveraged exchange-traded funds (ETFs).

The latest Ponzi schemes keep with the theme of brokers allegedly bilking from the elderly, including those close to them.

Many financial advisers and brokers might be confused about what regulators have to say about using social networking.

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.