Dual Registrants

More investigators and analysts will be working to search out firms and individuals who engaged in misconduct in connection with the creation and sale of ...

The state of Missouri recently reached a settlement of nearly $1.1 million with the firm Stifel, Nicolaus & Company after determining that it failed to ...

The sudden dismissal of the Commission's case against Ted Urban, the former general counsel at Ferris Baker Watts in Baltimore, surprised even the defendant, came ...

FINRA's 2012 exam priorities letter is notable for its emphasis on different types of complex products, and the need to do suitability analyses tailored to ...

Your firm might be able to shield itself from class-action customer complaints if a new legal battle goes a certain way. While a plus for ...

FINRA recently fined Citigroup Global Markets $725,000 for failing to disclose certain conflicts in its research reports and research analysts' public appearances. The problems occurred ...

SEC Commissioners last week declined to rule on the pivotal Theodore Urban case, a ruling that would have clarified whether an individual who oversees a ...

Granted new social media guidance for registered investment advisers released recently comes from a single state - Massachusetts - but it adds to the trend ...

If FINRA examiners ask for copies of Suspicious Activity Reports and supporting documentation to see if you're complying with SAR filing requirements, you will have ...

The criminals compromising customers' e-mail accounts to divert the customers' funds are typically targeting victims domestically or in Australia, and the funds typically are being ...