Tag: FINRA

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.

U.S. House lawmakers today approved an extensive financial reform measure—but the provision to give the Financial Industry Regulatory Authority (FINRA) more purview over advisers didn’t go through.

Asset managers are using more creative methods such as social networking to reach financial advisers, according to Cerulli Associates.

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.