Company: Financial Industry Regulatory Authority

393 results found

Stephens, Inc. fined US$900,000

Managing emotions around financial decisions is critical to avoiding fraud

Misrepresentations made replacement annuities appear more beneficial, even though they were typically more expensive than clients’ existing annuities, FINRA says

New reports designed to help firms spot and halt potential market manipulation

Enhanced disclosure serves the interests of investors

US$1.3 million returned to investors

The U.S. brokerage was censured for supervisory violations relating to chronic fails to deliver by a client in multiple ETFs

Rise of robo-advisors in mortgage business could have an impact

Investors should be aware that conflicts of interest can exist even with digital investment advice

The proposal aims to improve transparency to retail investors

A letter from the U.S. self-regulatory organization highlights areas of concern