Financial Industry Regulatory Authority (FINRA)

  1. All
  2. Articles

Watch breaking news videos and read news updates about Financial Industry Regulatory Authority (FINRA) on investmentnews.com

  1. Articles

    Finra bars Wells Fargo broker who ran Miami nightclub

    Aaron Parthemer, left, a Wells Fargo adviser for a number of NFL and NBA players, allegedly ran a hip hop dance club in South Beach without telling his employer.

  2. Articles

    How advisers can avoid Finra scrutiny over personal liens, judgments, or bankruptcies

    While disclosures of negative personal financial events are not pleasant, the consequences of not making them can be severe.

  1. Articles

    Finra board approves changes to public communication rules

    Broker-dealer regulator says parts of communications rules that would be excised include the filing of generic investment company material and shareholder reports.

  2. Articles

    SEC panel calls for a single database to run background checks on all financial professionals

    The agency's Investor Advisory Committee recommends making it easier for investors to track securities violations by advisers and brokers, regardless of who regulates them.

  3. Articles

    Tony Thompson barred from securities industry

    The regulator said he misrepresented $50 million private offering that later went into default

  4. Articles

    Finra arbitration panel awards investor $1.3 million from ex-Stifel broker

    A Finra arbitration panel has awarded $1.3 million in damages to a Mississippi investor over the handling of her finances by a former broker for Stifel Nicolaus & Co. Inc.In a case filed in August 2012, Tracy Noble Gilbert accused broker Lanis Dale Noble, then with Stifel, of churning and breach of

  5. Articles

    Finra fines three firms for lapses on consolidated reports

    Processes must be in place to supervise the compilation of a client's entire financial life in one document.

  6. Articles

    March Mayhem Final Results

    The final round is over. Here are the results.Final Round 1 38%Bill Gross speaks out on Pimco exit vs. 2 62%Schorsch discloses serious accounting errors; CFO out

  7. Articles

    March Mayhem Results Round Four

    Round 4 is over. Please click here for Round 5 of March Mayhem!On the Move VS. News You Can Use 1 54%Bill Gross speaks out on Pimco exit vs. 2 46%Supreme Court suit to shake up retirement plan advisers Water Cooler VS. Breaking News 1 39%Morgan Stanley's Hunger Games-inspired video vs. 2

  8. Articles

    March Mayhem Round Five

    Vote on which story is bigger: Bill Gross discussing his Pimco departure, or Schorsch's American Realty Capital's accounting errors

  9. Articles

    March Mayhem: Round Four

    Which story do you think is the best? Place your votes all week and find out which story will reign supreme. Round 3 is over. Click here for the results. For Round 4, place your votes by 4 p.m. Thursday.

  10. Articles

    March Mayhem Results Round Three

    Round 3 is over. Please click here for Round 4 of March Mayhem!On the Move 1 68%Bill Gross speaks out on Pimco exit vs. 2 32%Merrill asks $2.5 billion team to leave News You Can Use 4 26%Publication of Robin Williams' trusts highlights privacy concerns vs. 2 74%Supreme Court suit to shake up

  11. Articles

    New York City official wants to make brokers say: 'I am not a fiduciary'

    Advice industry mixed on the push for a New York bill to clearly distinguish advisers from brokers.

  12. Articles

    March Mayhem: Round Two

    Is your NCAA bracket busted? Maybe it's time to start a new one. Check out our tournament of InvestmentNews' top-performing stories of the past 12 months. Clicks aside, which story do you think is the best? Place your votes all week and find out which story will reign supreme. Round 1 is over. ...

  13. Articles

    March Mayhem: Round Three

    Which story do you think is the best? Place your votes all week and find out which story will reign supreme. Round 2 is over. Click here for the results. For Round 3, place your votes by 4 p.m. Wednesday.