Browsing Tag
FINRA
19 posts
CFP Board Taps New Chair, AB Appoints President
Plus, the latest news from The Retirement Advantage, Financial Planning Association, FINRA, Morningstar, and more
January 9, 2026
Americans Facing Harsher Financial Conditions Today
FINRA’s newest study shows U.S. adults are struggling to make ends meet today compared to previous years
July 16, 2025
Corporate Roundup: FINRA Appoints Public Governor, Lincoln Financial Taps CTO
The latest news from FINRA, Lincoln Financial, NAPA, Hightower, and more
May 23, 2025
FINRA Shuts Down B-D for Reg BI Breaches, Additional Violations
Owner and CEO suspended for a year as Melville, N.Y.-based firm made misrepresentations to customers and violated FINRA’s suitability and supervision rules
May 15, 2023
FINRA Report Highlights 4 Key 2023 Exam Priorities
New report on exam and risk monitoring program reflects new and evolving risks, industry trends, and noteworthy findings
January 16, 2023
Former Advisor Sentenced in Elder Fraud Scheme
He solicited funds by telling potential investors they would double, triple, or quadruple their investments
February 18, 2022
Former Advisor Gets 35-Year Sentence in $25 Million 401k Fraud
'He stole significant portions of investment contributions to fund his criminal enterprise and lavish lifestyle'
September 22, 2021
FINRA Again Postpones In-Person Arbitration Due to COVID
In response to the evolving coronavirus disease (COVID-19), FINRA has decided to administratively postpone all in-person arbitration and…
January 5, 2021
Reg BI and DOL Fiduciary Rule: Harmonizing Two Rules that Fulfill Lower Standards
Trust law is instructional to ERISA, and the Uniform Prudent Investment Act offers a definition of prudence. Both…
July 15, 2020
Cybersecurity Help for Advisors Working Remotely
FINRA cybersecurity alert urges firms to secure remote devices; Workplace offers free compliance software for advisors.
April 16, 2020