Tag: FINRA Regulation
ProEquities Inc. Sanctioned for Overcharges
ProEquities Inc. Sanctioned for Mutual Fund Overcharges According to the Financial Industry Regulatory Authority (FINRA), the regulator has...
Cadaret Grant & Co. Censured and Fined $800,000
FINRA Sanctions Cadaret Grant & Co. for Supervisory Issues According to the Financial Industry Regulatory Authority (FINRA), the...
Merrill Lynch Reverses Policy on Commission Based Accounts
Death of DOL’s Fiduciary Rule in March Leads to Merrill Lynch Policy Change According to reports this week, Merrill Lynch said on...
Can FINRA Protect Investors from Financial Advisor Misconduct ?
Financial Advisor Misconduct – new study says 1 in 10 advisors has severe misconduct records. According Financial IQ a recent study,...
New FINRA Rule Protecting Seniors from Financial Abuse
SEC approves new FINRA rule designed to protect seniors from financial exploitation. Will firms follow through? The US Securities and...
FINRA Arbitration Reform: Is it Enough?
FINRA Arbitration Reform FINRA, the Financial Industry Regulatory Authority, is continuing to make reforms to its often criticized...
