| Similar Articles |
|---|
 |
Registered Rep.
May 1, 2008
Halah Touryalai |
Banc Of America Dishes Out $10 Million For Fiduciary Violations Banc of America Investment Services Inc. settles charges that it failed to disclose that it favored mutual funds affiliated with the firm.   |
Financial Planning
October 1, 2006
Lynn Hume |
The Bond Buyer A NASD hearing panel has censured and imposed a $5 million fine on American Fund Distributors for directing $98 million in brokerage commissions over three years to 50 broker-dealer firms in order to reward them for being top sellers of its funds. |
Financial Planning
July 1, 2011
Donna Mitchell |
Hot Topics FINRA steps in... $80 million settlement of two class-action suits by Securities America... Whistleblower payday... |
Registered Rep.
October 19, 2007
Karen Donovan |
Don't Settle With Regulators--Litigate, Says Sutherland Et Al. (That Figures, Regulators Retort: Lawyers Would Say That) You may lose in arbitration, but the punishment may be less than you would have received in a settlement. |
Registered Rep.
August 30, 2006
David A. Geracioti |
American Funds Slapped Today, an NASD Hearing Panel fined American Funds Distributors, the principal underwriter and distributor of the shares of the American Fund family, for directed brokerage. |
Registered Rep.
October 6, 2011
Andrew J. Haigney |
Opinion: FINRA Is an Ineffective Regulator FINRA, the brokerage industry's self-regulatory organization, finds itself in caught up in the industry's death spiral. This non-government, private corporation's fortunes are tied to brokerage firms. |
Financial Planning
January 1, 2012
Donna Mitchell |
Hot Topics SEC enforcement actions... Heartland hails dividends... Regulatory changes & volatility top concerns for retirement advisors... |
Registered Rep.
March 15, 2013
Megan Leonhardt |
A "Tougher" FINRA? FINRA has stepped up the number of cases and the value of fines they levied against advisors last year, but that doesn't neccessarily mean that the indstury's self-regulatory organization is getting any tougher. |
Financial Planning
December 1, 2010
Donna Mitchell |
Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers. |
On Wall Street
January 1, 2010
Alan J. Foxman |
Blamed for ARS He Didn't Sell Misrepresenting auction-rate securities... BrokerCheck public disclosure system... |
Registered Rep.
April 1, 2008 |
Blotter The SEC has filed civil fraud charges against Linda Woolf and David Gengler, promoters of "Teach Me to Trade" classes... FINRA suspended and fined 16 current and former State Farm reps for misconduct related to FINRA's continuing education requirements... |
Investment Advisor
February 2010
Robert F. Keane |
Beware Green Investment Scams FINRA has issued an alert warning advisors and investors to be wary of green energy investments that promise large gains from investing in companies purportedly involved in developing or producing alternative, renewable or waste energy products. |
On Wall Street
September 1, 2012
Ken Corbin |
FINRA Penalties Soar in 2012 Suitability infractions were the most common source of FINRA s disciplinary actions |
On Wall Street
August 1, 2009
Alan Foxman |
Whistleblowing Made Easy How to go about alerting authorities to violations in your firm, other legal questions are answered. |
Registered Rep.
June 1, 2008
Christina Mucciolo |
Let's Litigate Here's a little news that might interest you: Sometimes it pays to litigate against the Financial Industry Regulatory Authority (FINRA, formerly NASD) rather than settle. |
On Wall Street
February 1, 2013
Alan J. Foxman |
Proposed FINRA Procedures May Let Brokers Expunge Records Advisors may be able to erase mark against them from disputes in which they were not directly named. |
On Wall Street
November 1, 2010
Alan J. Foxman |
Crime Versus Punishment Members of the financial services industry write in for advice and have their legal questions answered. |
Investment Advisor
August 2009 |
B/D News Broker/Dealer news: SEC Enforcement... BOA and broker protocol... FINRA surveys retail sales practices... |
Investment Advisor
July 2008 |
News & Products, July 2007 Marcia Martin was named senior vice president, operations and partner support, at Cambridge Investment Research... The Financial Industry Regulatory Authority warns investors about the potential downside of using 401(k) debit cards... FINRA appointed James Donovan as senior executive VP... |
Investment Advisor
March 2008 |
News & Products, March 2008 B/D chief compliance officers can now register for the inaugural CCOutreach BD National Seminar... Merrill Lynch & Co. agreed to pay the city of Springfield, Massachusetts $13.9 million... FINRA elects individuals to fill five regional vacancies... etc. |
Investment Advisor
September 2009 |
Broker/Dealer News Actions by the SEC and FINRA |
BusinessWeek
July 2, 2008
Mara Der Hovanesian |
How to Enjoy a Scam-Free Retirement What to watch out for, what to consider, and where to go for guidance to make your nest egg go the distance. |
On Wall Street
March 1, 2011
Lorie Konish |
All-Public Panels Approved For Arbitrations The move may be hailed by investor groups, but other industry experts are criticizing the Securities and Exchange Commission's recent approval of a rule change that allows for the option of all-public panels in FINRA arbitrations. |
Registered Rep.
September 13, 2011
Kristen French |
Long Legislative Fight Kicks Off with House Hearing On SRO, Fiduciary Standard Congressman Scott Garrett opened Tuesday's House Financial Services Committee hearing on an SRO for investment advisers and a fiduciary standard for broker/dealers with a threat. |
The Motley Fool
August 30, 2007
Selena Maranjian |
A Better Way to Check Your Broker? A former SEC guy is aiming to help you steer clear of ne'er-do-wells. Meanwhile, make sure that the brokerage you're using is best for your needs. Odds are, you can find a better brokerage that charges you less or offers more services. |
Financial Planning
May 1, 2011
Bob Veres |
To the World of 2020 I'm writing this column to help you address the issue on the minds of investors and consumers everywhere in your future day and age: How can we finally fix the regulatory system after the latest traumatic events shook the markets to their core? |
Financial Planning
December 1, 2011
Bob Veres |
Regulatory Armaggedon The Republican leadership in Congress has proposed that the SEC authorize one or more self-regulatory organizations to take over regulation of RIAs. This has been coordinated with massive Wall Street lobbying. |
On Wall Street
March 1, 2013
Kenneth Corbin |
FINRA Cracks Down on Suitability Broker-dealers and advisors recommending complex, high-yield products to see more scrutiny. |
On Wall Street
July 1, 2010
Alan J. Foxman |
Dueling Investigators Advisor Q&A: Why must agencies duplicate investigatory efforts?... Should I worry about reps picking up bad habits from old firms?... |
On Wall Street
May 1, 2010
Alan J. Foxman |
Do You Always Have A Right To An Attorney In Arbitration? Q&A: Rights to attorneys in arbitration... Is giving the client a bond's rating enough when it comes to disclosing risks?... |
Investment Advisor
April 2008
Elizabeth D. Festa |
FINRA and SEC Look to Build Bridges Seminars for chief compliance officers includes recommendations for keeping the lines of communication open between broker firms, the Financial Industry Regulatory Authority, and the Securities and Exchange Commission. |
Financial Planning
November 1, 2011
Kentouris et al. |
Hot Topics Hedge fund advisors now must file with FINRA.. Blackrock launches three alternative funds... Mystery novels, social security and financial planning, all at the library... |
Registered Rep.
January 15, 2009 |
Schapiro's Replies: Blame The SEC--Not FINRA--For Madoff It wasn't her job, man. |
Financial Planning
February 1, 2008
Bob Veres |
Death by Regulation The financial planning profession is about to fight for its survival against well-funded opponents. Here are some possible outcomes. |
Investment Advisor
September 2009
Thomas D. Giachetti |
Expert's Corner: It Beats Getting Sued What every investment advisor should know about securities arbitration. |
Registered Rep.
November 8, 2011
Jerry Gleeson |
Auction Rate Revenge For tens of thousands of investors who were trapped in the auction rate securities debacle that started in 2008, finances are getting back to normal. |
Registered Rep.
July 30, 2007
Halah Touryalai |
FINRA Sticks as SEC Approves Regulator Consolidation After some minor bumps along the way, the NASD and NYSE merger is official. |
Investment Advisor
January 1, 2011
Melanie Waddell |
FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors. |
On Wall Street
August 1, 2010
Alan J. Foxman |
Getting A Good Arbitrator How FINRA selects arbitrators... Arbitrators don't need intimate knowledge of the brokerage industry... |
Registered Rep.
May 29, 2008
John Churchill |
Clearing Firm Faces SEC Charges, Small Firm Movement Tarnished Richard Goble, a leading critic of FINRA and vociferous supporter of gentler regulation for small brokerage firms, has been hit with serious charges of fraud from the SEC. |
Registered Rep.
March 15, 2011
Bill Singer |
Street Legal: FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All According to a recent Financial Industry Regulatory Authority settlement, registered persons may need to reconsider some activities that go on outside of work. |
Registered Rep.
May 7, 2010
Kristen French |
Bulk Up On Disclosure, Shock Aborbers Needed, Says Ketchum The industry must move forward to improve the quality and kinds of disclosures firms provide to clients, particularly disclosures about the services provided. |
Registered Rep.
September 14, 2011
Andrew J. Haigney |
Opinion: FINRA's Land Grab Provisions of the Dodd-Frank Act are effectively forcing brokerage firms to convert their retail operations to the investment advisory model. But brokers need not worry, it looks like "the fix is in." |
Registered Rep.
April 30, 2008 |
FINRA Fines American Funds FINRA spanked the fund giant for "directed brokerage," a now-banned practice of directing trades to the trading desks of top-selling brokerages. |
Investment Advisor
December 21, 2010
James J. Green |
FSI Endorses FINRA as SRO for Investment Advisors Dale Brown says FINRA option is "best way to address the regulatory gap." |
Financial Planning
October 1, 2011
Jennifer Woods Burke |
The Risk of Hide and Seek Advisors are often guiding clients through financial nightmares rather than living their own. But a FINRA enforcement action this year demonstrates how easily your career can slip away if you don't properly disclose financial troubles. |
The Motley Fool
January 18, 2011
Selena Maranjian |
Protect Yourself From Your Brokerage When you invest in stocks, you accept some risk. Your stocks may drop in value, shrinking your investment. That kind of risk is unavoidable, but other brokerage-related risks are not. |
Registered Rep.
November 4, 2009
Bill Singer |
Rep. Bachus Slips One In (Not Everyone Is Cheering) Has Capitol Hill taken its legislative legerdemain to new depths? |
Registered Rep.
November 29, 2011
Diana Britton |
FINRA Strikes Again: Eight B/Ds Busted for Sale of Private Placements The Financial Industry Regulatory Authority continues its crackdown on the sale of troubled private placements, filing sanctions against eight firms and 10 individuals Tuesday and ordering them to pay restitution to investors. |
Investment Advisor
April 1, 2011
Ron Rhoades |
An Alternative to FINRA Oversight "I expect FINRA and its allies to continue to push to extend its jurisdiction to some or all investment advisors," says Investment Adviser Association Executive Director David Tittsworth. |
