The changes include allowing individuals to retain their qualifications for up to five years provided they keep up with continuing education mandates. FINRA believes the changes will help people more easily return to the industry after extended...

Ninety-five-year-old grandmother spars with two of her grandson over FINRA award payout, refuses to sign gag order.

The number of standalone enforcement actions climbed year-to-year from 2020, while whistleblower awards passed $1 billion since issuing its first award nearly a decade ago.

The two states become the 17th and 18th to adopt rules regarding annuity sales and recommendations based on the National Association of Insurance Commissioners’ model rule, following Connecticut, Virginia, Iowa and others.

Under AmeriFlex's new program, an advisor sells 30-40% of their current revenue to the OSJ in exchange for a check. The program was created with Larry Roth, industry consultant and longtime IBD exec.

Private equity veteran Kent Weldon has made a private investment in Venturi Private Wealth, a fast-growing RIA founded by Merrill Lynch veteran Russ Norwood.

The charges against Lina Maria Garcia followed previous ones filed in June against UCB Financial Advisers and her partner, Ramiro Jose Sugranes, for a scheme that allegedly cost clients $5 million.