Tag: FINRA

Merrill Lynch had accused Morgan Stanley of poaching a team of its brokers–a team that had handled $215 million in client assets.

The Financial Industry Regulatory Authority (FINRA) fined Goldman Sachs $650,000 for failing to disclose that two of its registered representatives had received Securities and Exchange Commission (SEC) Wells...

The mutual fund trade industry’s voice has weighed in on the 12b-1 debate – and, as might be expected, they aren’t keen on some of...

The Financial Industry Regulatory Authority (FINRA) has chosen J. Bradley Bennett as the new Head of Enforcement.  

Whether it’s fear of “teenyboppers” or compliance issues, plan advisers have many questions related to social media and networking sites.   

The Securities and Exchange Commission has approved the adoption and extension of new stock trading circuit-breakers.    

The Financial Industry Regulatory Authority (FINRA) has fined Merrill Lynch $500,000 for failing to provide sales charge discounts to customers of eligible purchases of Unit Investment Trusts (UITs).

The Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and North American Securities Administrators Association (NASAA) have outlined practices used by financial services firms to strengthen...

The owner of the New York Mets has been sued for the role he allegedly played in wiping out a participant’s 401(k) account. 

Certain provisions of the financial reform legislation approved by the U.S. Senate last week may affect financial advisers.  

In addition to economic and environmental threats, the recent oil spill in the Gulf of Mexico poses a threat to investors, according to an investment alert from regulators.

linkedFA, a social networking site for financial professionals, said it now offers a feature to satisfy compliance concerns of brokerage and wirehouse firms.

The Financial Industry Regulatory Authority (FINRA) said it wants to make available more public complaints and other information through the BrokerCheck service.

A woman who sued her stockbroker brother won $608,000 under the decision a Financial Industry Regulatory Authority (FINRA) arbitration panel.

The city of Burlington, Vermont, has filed a regulatory complaint against Morgan Stanley alleging that the firm’s consultants sold the city pension fund investments that caused it to...

If implemented, financial advisers said a fiduciary standard would put an increased focus on financial planning and fee-based advisory services, according to an industry report.

Broker/dealers and their reps confused about regulations regarding social networking might now have some answers.

The new social networking site linkedFA said it is the “first and only FINRA-compliant social networking site for financial professionals.”

FINRA, SEC not yet clear about social networking

The Financial Industry Regulatory Authority (FINRA) is telling investors to watch out for green energy investment scams.