Financial Industry Regulatory Authority (FINRA)
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B-D chief misused funds, Finra chargesThe head of a broker-dealer that packages and distributes illiquid equipment-leasing funds is the target of a complaint by securities regulators that alleges persistent misuse of investor money over a three-year period to pay for personal expenses such as home remodeling, trips, tools, meals and ...
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Schwab drops class action ban temporarily
The Charles Schwab Corp. has dropped language from its client arbitration contracts that prevents customers from filing class actions — at least until the policy can be litigated.
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Finra fines 3 firms $900K for suspicious tradingThe Financial Industry Regulatory Authority Inc. last Wednesday fined three financial companies a total of $900,000 for failing to stop money laundering and other suspicious transactions. Officials at the firms were fined a total of $100,000. The organization fined Atlas One Financial Group LLC
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LPL to settle over e-mail surveillance
Sometime this quarter, LPL Financial LLC expects to settle with the Financial Industry Regulatory Authority Inc. a matter related to broker and adviser e-mail surveillance.
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Securities America pays $100,000 fineSecurities America Inc. has agreed to pay a $100,000 fine to the Financial Industry Regulatory Authority Inc. over e-mail violations.
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BrokerCheck link dashedFinra yanks proposal that would have required reps to post link to database on their web sites, social media pages
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Bonus disclosure exposes divideIBDs and wirehouses split on potential regulation to reveal recruiting packages
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Be leery of 'bondlike' claims of investment productsWith clients desperately searching for yield, advisers need to be leery of the marketing claims associated with some fixed-income products, warns Bruce Kelly.
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Finra zeroing in on practices involved in sales to seniors
The Financial Industry Regulatory Authority Inc. is gathering data from firms regarding the products they market to seniors, the percentage of revenue they derive from those sales and the designations they are using to market themselves to older Americans.
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Can regulators stave off 'massive increase in senior misery?'Elderly seen as easy target for unscrupulous advisers, fraudsters; Finra zeroing in on complex products
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Heiress: LPL rep took me for a rideAn heiress to the Knott's Berry Farm theme park is seeking $8.5 million in an arbitration claim against LPL Financial LLC.
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SEC charges Belesis, hedge fund manager with fraudTroubles mount for beleagured B-D owner as Commission files charges; Finra in the wings
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Schapiro's next gig looks to be at General Electric
Mary Schapiro, the former chairman of the Securities and Exchange Commission, has been nominated to be a member of the board of directors of General Electric Co.
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MSRB to follow Finra regarding suitability rulesThe Municipal Securities Rulemaking Board last Monday asked for comments on proposed changes to its suitability rule that would parallel expansive revisions that the Financial Industry Regulatory Authority Inc. made to its own suitability rules last July.
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Finra upped fines by 15 percent last year, study showsData reveals that Finra up its fines in 2012 by 15 percent. Disciplinary actions were up as well. Dan Jamieson breaks down the numbers
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