In the latest legal action from a firm not content to watch its client information walk…
Tag: FINRA
JPMorgan seeks restraining order for advisor at Wells Fargo
For the second time in a week, JPMorgan is suing a former advisor for alleged violations…
Weighing the chances of RIA arbitration reform
Investor advocates are cheering an attempt to place stricter limits on how RIAs can use arbitration…
FINRA panel fines U.S. Capital Wealth for investment advice
A hybrid wealth management firm acquired by Arax Investment Partners last year owes a client at…
UBS fined for broker’s firing
UBS is on the hook for $1 million after a FINRA arbitration panel found it wrongfully…
PIABA decries new FINRA arbitrator criteria
Investor advocates are up in arms about a FINRA rule change they contend could prevent aggrieved…
Supreme Court Denies Alpine Securities’ Appeal in FINRA Case
The Supreme Court has denied Alpine Securities’ attempt to have the nation’s highest court review its…
Supreme Court OKs FINRA’s pursuit of Alpine case
The Supreme Court let the Financial Industry Regulatory Authority proceed with disciplinary proceedings against the embattled…
Stifel challenges $133M award, claiming arbitrator bias
Stifel is asking a court to toss out a nearly $133 million arbitration penalty, alleging that…
FINRA feels broker pushback on side-business proposal
Brokers and industry groups are greeting a FINRA proposal meant to relax advisors’ obligation to report…
JPMorgan, B. Riley and Oppenheimer weather FINRA probes
Enjoy complimentary access to top ideas and insights — selected by our editors. B. Riley Financial,…
FINRA Crypto Sweep Likely Resulting in Some Enforcement
There will likely be a “small number” of formal enforcement actions stemming from the Financial Industry…
FINRA to reopen supervision plans in WhatsApp cases
FINRA is looking to lighten the supervision burden on nearly 80 firms that reached settlements before…
FINRA Says Outside Business Rule Changes Won’t Require Crypto Reporting
FINRA is pushing back on criticism of proposed changes to its rules on reps’ outside business…