Brokerage industry self-regulator Finra alleged that three Cetera broker-dealers missed red flags relating to large-scale ...

The industry regulator has sanctioned three broker-dealers in the Cetera network for weak controls around low-priced securities and customer reporting.

Richard Lance Belline had a 30-year career as a broker with Equitable Advisors in Rogers, Ark., beginning in December 1993 and running until October 18, 2023, according to BrokerCheck. He became ...

A Finra panel has awarded two clients of A.G. Morgan Financial Advisors more than $2.5 million based on allegations that the firm's two advisors were negligent and breached their fiduciary duty when ...

Regulators have suspended an Oklahoma financial advisor for impersonating clients in a series of phone calls with his former brokerage firm. His lawyer says he was trying to help the clients access ...

A three-person FINRA arbitration panel awarded $1.1 million, including back pay, to a former J.P. Morgan Securities financial advisor who claimed in the dispute the firm was in breach of contract. The ...

FINRA rules for greater scrutiny of brokers with misconduct records may have simply nudged those individuals into insurance registrations with more lax supervision, a new study found. Processing ...

Brokers were worried a new rule intended to lighten their responsibility to monitor advisors' side hustles would ironically ...

With a retirement crisis looming, the financial services industry needs to work toward one consistent set of rules, ...