Broker-Dealers

The rep recommended a $50,000 L Bond with a 5-year term to a retail customer: (1) who was a 63-year old semi-retiree; (2) who had ...

Despite the numbers of broker-dealer firms continuing to fall, reps serving the brokerage industry have hit their highest level in five years

Reps have long sought to take their clients with them to greener pastures. Now this trend is heating up thanks to an infusion of green ...

Firm charged with including impermissible confidentiality language in three settlement agreements with customers

Firm fined for failing to reasonably supervise the transmittal of customer funds through externally initiated ACH transfers by third parties

Barclays twice self-reported violations of the rules relating to research analyst conflicts of interest leading to a $700K fine

FinCEN proposes to amend its AML rules. Among other things, should this proposal be finalized, it would require broker-dealers and other financial institutions to review ...

A FINRA review of a broker-dealer's advertised trading volume uncovered the overstating of volume on Bloomberg by 2.1 billion shares

The use of financial social media influencers is growing in popularity, which means increased regulator scrutiny

FINRA's rules apply when firms use Gen AI for business just as they do when firms use any other technology or tool