Regulatory & Compliance (359)
Finra Hits Edward Jones with $1.1M Fine Over Phone Records
- Friday, 30 December 2022
- Regulatory & Compliance
- Written by PFA News
Finra has slapped Edward Jones with a fine of more than $1.1 million for failing to produce phone records requested during 10 of the industry self-regulator’s investigations of the firm. So reports Barron’s.
Read more...Finra Home Office Plan Could Let Advisors 'Skirt the Rules,' Group Warns
- Wednesday, 07 December 2022
- Regulatory & Compliance
- Written by PFA News
The Financial Industry Regulatory Authority’s proposal to classify home offices as non-branch locations is “fundamentally flawed” and “leaves considerable opportunity for advisors working from home to skirt the rules,” the Public Investors Advocate Bar Association contends. So reports Think Advisor.
Read more...Time to Comply with SEC’s Marketing Rule Is Now, Lawyers Warn
- Wednesday, 09 November 2022
- Regulatory & Compliance
- Written by PFA News
The SEC’s rejiggered advertising and marketing rule officially took hold on November 4, and advisors who have yet to comply should hold off on ads and testimonials until they’re caught up, industry attorneys caution. So reports Think Advisor.
Read more...Finra Settles First Reg BI Enforcement Action
- Thursday, 13 October 2022
- Regulatory & Compliance
- Written by PFA News
The Financial Industry Regulatory Authority has completed its first enforcement case under the Securities and Exchange Commission's Regulation Best Interest, or Reg BI. So reports Financial Advisor.
Read more...FINRA Increases Fine Ranges
- Monday, 03 October 2022
- Regulatory & Compliance
- Written by PFA News
FINRA has increased the size of fines it can dole out to large and midsize firms, the regular recently announced. So reports Think Advisor.
Read more...Arbitrators Hit Oppenheimer & Co with $36M Ruling Over Ponzi Scheme
- Friday, 09 September 2022
- Regulatory & Compliance
- Written by PFA News
An arbitration panel has issued a more than $36 million arbitration award against Oppenheimer & Co. So reports Advisor Hub.
Read more...CA Advisor Gets 10 Years in Prison for $300M Ponzi Scheme Targeting Veterans
- Wednesday, 24 August 2022
- Regulatory & Compliance
- Written by PFA News
Scott Kohn, 68, of Newport, California, has been sentenced to 10 years in prison for his role as the ringleader of a nationwide, $300 million Ponzi scheme, according to an announcement from the U.S. Department of Justice.
Read more...Morgan Stanley Settles with Regulatory Duo for $200M
- Thursday, 11 August 2022
- Regulatory & Compliance
- Written by PFA News
Morgan Stanley has settled with the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) over recordkeeping and business communication issues. So reports Reuters.
Read more...Finra Bans Duo for Cheating on Online Exam
- Thursday, 21 July 2022
- Regulatory & Compliance
- Written by PFA News
Finra has banned Brandon Autiero and Harris Kausar for allegedly cheating on their remote securities exam. So reports Barron’s.
Read more...Banned FA Charged in $100M Crypto Fraud
- Monday, 11 July 2022
- Regulatory & Compliance
- Written by PFA News
Joshua David Nicholas, a former financial advisor who was barred by FINRA earlier this year, has been indicted by a South Florida federal grand jury for his part in a crypto scheme.
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