As firms scramble to stay off FINRA’s new 'leper list' of broker/dealers with histories of misconduct, some say smaller businesses and reps with only minor regulatory blemishes are being unduly tarnished.

The unnamed rep recommended more than $2.1 million trades in certain mutual funds shares more appropriate for long-term use, according to FINRA, and Kovack Securities allegedly failed to spot the red flags.

It may feel a little awkward in the moment, but your future self and team will thank you.

A lesser-discussed aspect of the new SEC marketing rule reignites an old debate—how can an advisor tout their own investment track record after leaving a firm?

Did a now-defunct IBD avoid FINRA financial judgments by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case currently brewing in Georgia's federal appeals court.

Scott Kohn worked with a network of hundreds of financial advisors and insurance agents, several now barred by FINRA, as part of a scheme targeting seniors and veterans, the DOJ says.

The biggest problem facing the IRS isn’t bad management or lack of resources, but the metastasizing complexity of the tax rules it must administer.

The Massachusetts Secretary of the Commonwealth said retail investors should not consider the ETFs as long-term investments.