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Finra

A Financial Services Marketing Girl's Guide To Surviving A Compliance Conference

April Rudin | Posted 11.19.2014 | Business
April Rudin

Our audience looked shell-shocked although it was only the morning of day 2. Deer in the headlights-I think I was the only one in the room smiling. How could I lighten their load? This is not a funeral nor a death sentence I thought. 6 years later, has anything really changed?

Wall Street's 5 Most Deceptive Sales Practices

PaladinRegistry.com | Posted 12.17.2014 | Money
PaladinRegistry.com

The headlines are not the only risks that are created by Wall Street. There are other risks and there is a 75% probability one of them is impacting you.

Why Sports Stars Crash and Burn Within 5 Years of Retirement.

Natalie Pace | Posted 10.04.2014 | Money
Natalie Pace

We've heard about the most spectacular falls -- such as Mike Tyson and Kareem Abdul Jabbar -- but, unfortunately, this sad outcome is far from rare.

Angry Variable Annuity Owners Seek Restitution

Chris Wang | Posted 03.15.2014 | Money
Chris Wang

If you are considering buying an annuity, it is important to take your time to understand exactly what you are buying and know it will meet your needs.

Dealing With Cold Calls From Brokers

Dan Solin | Posted 11.10.2013 | Business
Dan Solin

While cold calling by brokers is legal if it's in compliance with applicable statutes and regulations, it's a practice that readily lends itself to abuse.

Watchdog Warns Of Growing Pot Problem

Reuters | David Randall | Posted 08.20.2013 | Business

NEW YORK (Reuters) - Investors in marijuana-related stocks may see their profits go up in smoke, U.S. regulators said on Tuesday. The Financial Ind...

Fired FINRA Worker Goes To Extreme Lengths For Love

The Huffington Post | Posted 08.09.2013 | Business

Since Ling Chan was fired from her job at the Financial Industry Regulatory Authority over her alleged "repeated unwanted" romantic advances towards a...

FINED

AP | Posted 08.04.2013 | Business

WASHINGTON (AP) — The Financial Industry Regulatory Authority has ordered Bank of America Corp. and Wells Fargo & Co. to pay fines and restitution t...

I Have A Dream--Wall St And Social/Digital Media Become Facebook Friends

April Rudin | Posted 07.22.2013 | Business
April Rudin

We cannot lose sight of the reason for compliance and the "spirit" in which it exists. But we need to recognize that we need a new way to maintain the regulatory spirit and discard those ideas that are no longer relevant in a world of Facebook, Twitter, LinkedIn, blogging, social media, posts, 'likes', endorsements, comments and opinions, all of which appear in real-time.

Eleazar David Melendez

Regulators Take Note Of Stock Market Hoax On Twitter

HuffingtonPost.com | Eleazar David Melendez | Posted 02.03.2013 | Business

From the boiler room-basement brokerages of southern New Jersey to the opulent office suites of midtown Manhattan hedge funds, the U.S. financial poli...

Banks Hit With Laughably Small Fines

AP | Posted 12.27.2012 | Business

WASHINGTON -- The Financial Industry Regulatory Authority says five of the country's largest banks will pay $4.5 million to settle claims they used mu...

Find a Financial Adviser Who Has Worked With More Money Than Your Nest Egg

Don McNay | Posted 12.14.2012 | Money
Don McNay

Money is about emotions. This is a primary reason that people blow through their money so quickly. They don't know what they are doing, but are convinced that they do. By the time they figure out their lack of knowledge, they are broke.

Bad News For Major Regulator

Reuters | Posted 08.29.2012 | Business

* Blames weak trading volume, low investment returns * Group's top executive earned $2.7 million in 2011 * Group is rais...

Bank Fined For Overcharging Customers

AP | The Associated Press | Posted 06.22.2012 | Money

NEW YORK -- A financial regulator has fined Merrill Lynch $2.8 million for overcharging customers with fees and for failing to provide timely trade co...

Nasdaq Turns To Regulator To Clean Up Facebook IPO Mess

Reuters | Posted 08.19.2012 | Business

(Repeats story originally published overnight) By Suzanne Barlyn NEW YORK, June 19 (Reuters) - It is not every day that ...

Bank Regulators Still Learning To 'Like' Social Media

Reuters | Jason Wallace Suzanne Barlyn | Posted 07.29.2012 | Business

By Jason Wallace and Suzanne Barlyn (Reuters) - As the securities industry finally warms up to using social media sites such as Faceboo...

Regulators To Review Facebook IPO Issues

Reuters | Posted 07.22.2012 | Technology

By Suzanne Barlyn and Ryan Vlastelica (Reuters) - Two top U.S. financial regulators said the issues around the initial public offering of Facebook ...

Judge Slams FINRA Arbitration

Dan Solin | Posted 05.20.2012 | Business
Dan Solin

In the interim, attorneys like Ms. Evans should ask themselves whether their stunning success is attributable to their legal skill or the lack of impartiality of FINRA arbitration panels.

JPMorgan Chase Fined Over Recommending Risky Investments

Posted 11.15.2011 | Business

A U.S. regulator ordered JPMorgan Chase & Co to pay $3.62 million in fines and reimbursement for recommending investments linked to junk bonds to ...

Financial Regulatory Powers Might Be Outsourced To Wall Street-Funded Finra

The Huffington Post | William Alden | Posted 08.28.2011 | Business

Congress may outsource the job of regulating thousands of investment advisors to an organization funded by the professionals it regulates, Bloomberg N...

When Morgan Stanley Talks, People Listen -- EF Hutton Goes Viral in 2011

April Rudin | Posted 08.01.2011 | Business
April Rudin

http://www.youtube.com/watch?v=_PwP1EjaBik The financial services industry in America has certainly evolved from the days of EF Hutton, however, the...

SEC Unveils Plan To Stabilize Markets

Posted 06.06.2011 | Business

By Sarah N. Lynch WASHINGTON - The Securities and Exchange Commission unveiled a long-awaited plan designed to protect the markets from volatile pr...

Service Members to Gain Free Access to Credit Scores

Chris Birk | Posted 05.25.2011 | Business
Chris Birk

Active duty military members and their spouses will soon be able to see their FICO score for free, part of a unique partnership aimed at boosting financial literacy among those who serve our country.

A FINRA Arbitrator With a Heart!

Dan Solin | Posted 05.25.2011 | Business
Dan Solin

I am no fan of the mandatory arbitration process imposed on investors by FINRA because investors usually lose or get a fraction of their losses.

Rich and Poor Serve Their Wall Street Masters

Dan Solin | Posted 05.25.2011 | Business
Dan Solin

I am often accused by brokers of being too hard on them. They say I cherry pick bad portfolios and there are many "hard working, honest brokers" who do the right thing for their clients. I used to believe it. I no longer do.