Former rep Sidney Lebental is citing FINRA’s legal sparring match with Alpine Securities to halt disciplinary proceedings against him. Meanwhile, FINRA has responded to Alpine’s allegations.

The bank alleges Daniel Sutton violated a prior agreement when accessing privileged client information before resigning and joining Commonwealth.

Compliance has not kept up with the current dynamic regulatory environment and its multitude of requirements.

The commission accused Julie Anne Darrah of a multi-year scheme targeting elderly female advisory clients spanning from before and after her firm joined Wealth Enhancement Group.

For years, BlackRock inaccurately described Aviron as a “diversified financial services” company, when it was a movie production outfit.

But a new FINRA rule making it easier for state regulators to oppose expungements could solve some long-standing problems.

Proposed changes to the Uniform Business Practices Rule conflict with Reg BI, will increase costs and decrease choice for investors and financial advisors, writes Cetera’s director of regulatory affairs.

Approval of the ETFs is seen as a potential watershed moment by digital-asset advocates.

In the suit filed in Florida federal court, Joena Bartolini Mitchell says she was fired in retaliation for filing claims of sexual harassment and discrimination.