FINRA Suspends Rep for Violating Reg BI With L Bond Sales
By Melanie WaddellThe rep told a client to invest a large share of her assets in a speculative debt security, FINRA says.
March 14, 2024
FINRA's Top 5 Fine Categories in 2023Total fines surged 63%, according to the law firm Eversheds Sutherland.
March 08, 2024
No Changes Coming to Reg BI: SEC ChiefThe next front in the SEC's war on conflicts of interest is the controversial predictive data analytics rule.
February 23, 2024
Ex-Broker Hit With Reg BI Fine, SuspensionA former Network 1 Securities rep recommended excessive trades in a 63-year-old client's account, FINRA says.
February 16, 2024
TIAA to Pay $2.2M for Reg BI Violations in IRA ProgramThe firm didn't disclose that core funds were more cheaply available in the IRAs' brokerage window, regulators say.
February 09, 2024
These Controversial SEC Rules Are Likely to Get Passed This YearThe regulator adopted 24 rules in 2023 and is pressing on at a pace that's causing concern.
February 06, 2024
More Reg BI Actions on The Way: FINRA Enforcement ChiefFINRA is also looking to improve communication and resolve cases faster, Bill St. Louis says.
January 22, 2024
FINRA Suspends Broker Over Reg BI ViolationsThe broker engaged in quantitatively unsuitable trading in the accounts of eight clients, three of whom were seniors.