Regulators have suspended an Oklahoma financial advisor for impersonating clients in a series of phone calls with his former brokerage firm. His lawyer says he was trying to help the clients access ...

Richard Lance Belline had a 30-year career as a broker with Equitable Advisors in Rogers, Ark., beginning in December 1993 and running until October 18, 2023, according to BrokerCheck. He became ...

The industry regulator has sanctioned three broker-dealers in the Cetera network for weak controls around low-priced securities and customer reporting.

FINRA rules for greater scrutiny of brokers with misconduct records may have simply nudged those individuals into insurance registrations with more lax supervision, a new study found. Processing ...

A Finra panel has awarded two clients of A.G. Morgan Financial Advisors more than $2.5 million based on allegations that the firm's two advisors were negligent and breached their fiduciary duty when ...

A three-person FINRA arbitration panel awarded $1.1 million, including back pay, to a former J.P. Morgan Securities financial advisor who claimed in the dispute the firm was in breach of contract. The ...

With a retirement crisis looming, the financial services industry needs to work toward one consistent set of rules, ...

Despite the hype around and capabilities of AI technology, consumers still trust human financial professionals more — and by a significant margin in certain financial situations, according to a recent ...