August 28, 2019
The SEC determined that FINRA had the authority to ban a former representative from future employment at a broker-dealer, concluding that the Supreme Court decision in Kokesh v. SEC was not relevant.
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146 News Results
May 03, 2017
The SEC and FINRA will hold a National Compliance Outreach Program for Broker-Dealers. The event will focus on cybersecurity, investing by seniors, anti-money laundering and recidivist brokers.
May 16, 2022
A California-based broker-dealer settled FINRA charges for failing to maintain adequate supervisory protocols regarding outside business activities and private securities transactions and for failing to comply with a FinCEN mandated audit.
September 28, 2022
A broker-dealer settled FINRA charges for failing to adequately supervise the outside business activities of its registered representatives.
November 02, 2022
Commentary by Steven Lofchie
FINRA issued guidance on developing or modifying succession plans for individual registered representatives in the event of retirement, death, disability or illness.