A firm settled FINRA charges for failing to supervise recommendations to purchase high-risk alternative investments made to retail customers.

A firm settled FINRA charges for failing to satisfy "reasonable-basis suitability obligations" for recommendations on private placements, insufficient supervision of trading activities and inaccuracies in trade reporting and customer confirmations.

In an Investor Insights article, FINRA described how trades are made through online brokerage accounts or mobile apps.

A commodity pool operator settled National Futures Association charges for (i) allowing unregistered individuals to solicit fund participants, (ii) failing to supervise employees effectively and (iii) failing to report certain individuals as firm principals.

In a special report, the CFPB highlighted exam findings of unfair, deceptive and abusive acts or practices "across all aspects of consumers' experiences with the auto-finance market."