FINRA Bars Broker Who Ripped Off Blind, Elderly Widow
Hank Mark Werner received commissions for recommending that a client purchase an unsuitable variable annuity.
FINRA Plans BrokerCheck Changes, Remote Exams
The regulator also sets Oct. 1, 2018, as the effective date for its streamlined competency exams.
SEC: Barred Broker Bilked Retirees to Fund E-Cigarette Business
The broker, formerly of the firm depicted in "The Wolf of Wall Street," also used client funds for trips to the tanning salon, SEC says.
SEC to Gather Data on Unregistered Advisors, Brokers
Third-party advisor exams are “not a bad idea,” SEC chief Jay Clayton said, but “it’s not front of my mind right now.”
FINRA Hits Morgan Stanley for $13M Over UIT Trades
Hundreds of Morgan Stanley reps executed short-term UIT rollovers in thousands of customer accounts, FINRA found.
Businessman Stole Investor Funds for Packers Tickets, SEC Says: Enforcement
Also, FINRA censures and fines Goldman Sachs, State Street and UBS.
FINRA Fines BD Over ‘Death Puts’
The ruling comes one month after an SEC judge dismissed similar claims involving one of C.L. King’s hedge fund clients.
FINRA Mulls Releasing ‘Bulk’ BrokerCheck Data
Bulk data on broker-dealers would give view into BDs that employ brokers with a history of FINRA violations, Cook said.
JPMorgan Chase's Cutler Named FINRA Large Firm Board Governor
Cambridge's Amy Webber was appointed as the independent dealer/insurance affiliate governor.
FINRA Nominates Large, Small Firm Members for Disciplinary Panel
SEC also approved amendments to FINRA customer and industry arbitration rules.