Alabama-based Frazer Lanier failed to detect a $500 political contribution by one of the firm's muni finance professionals ...

The Financial Industry Regulatory Authority has fined Fidelity Investments $600,000 for failing to supervise over an eight-year period an associated person's access to stock plan services accounts ...

An ex– Morgan Stanley financial advisor has been barred from the industry for failing to cooperate with a regulatory investigation of the circumstances surrounding his departure from the wirehouse.

The core of the problem stemmed from UBS FSI's use of its Trade Allocation and Processing System (TAPS). The system handled ...

A three-person Finra Dispute Resolution Services panel the day after Christmas awarded a Wells Fargo Advisors client $3.4 ...

A recent court ruling says FINRA can no longer shut down broker-dealers on its own and now requires SEC approval. That’s good news for unscrupulous brokerages, which could get even better once ...

While the system monitored equity trades, it did not cover these specific products. As a result, more than 20,000 customer accounts circumvented full cash payments, engaging in trades without ...

Both sides, the firms as well as the regulators, want to clean up their books going into the new year,” one executive said.

The firm failed to detect that millions of accounts were buying securities without first paying for them, the regulator said.

To achieve success on the FINRA exam, it is essential to dedicate the necessary time and effort to studying intelligently and ...