FINRA Bars Raymond James Compliance Associate for Doctoring Branch Audit Forms

July 9, 2019

FINRA Bars Former Cetera Advisors Rep

June 20, 2019

FINRA Bars Former LPL Rep

June 14, 2019

FINRA Bars Former Commonwealth Broker for Refusing to Provide Documents to Regulators

May 31, 2019

FINRA Bars Former LPL Broker for Refusing to Testify at Hearing

May 28, 2019

FINRA Fines Woodbury $225,000 Over Variable Annuity Supervision Issues

May 15, 2019

Four Former UBS Advisors with $530 Million Go Indie with Backing from Dynasty Financial

May 15, 2019

FINRA Bars Former Cambridge Broker for Misusing Client Funds

May 6, 2019

FINRA Seeks Comment on New Broker Misconduct Rule

May 3, 2019

Centaurus Financial Names New Corporate Counsel

November 19, 2018

Former Broker Pleads Guilty to Fraud and Lying to the SEC

November 16, 2018

SEC Charges Michigan Rep for Alleged $2.7 Million Investment Scam

September 19, 2018

SEC Charges Former Raymond James Branch Manager for Facilitating $21 Million Fraud

September 7, 2018

FSI Partners with Bill Bachrach on Client Acquisition Training Platform

August 15, 2018

FINRA Suspends and Fines Former Raymond James Broker for Accepting Monetary Gifts

August 13, 2018

FINRA: Number of Broker-Dealers and Registered Reps Decline for Second Year

August 10, 2018

SEC Charges Former UBS Broker in $4 Million Scam Targeting Brokerage Customers

August 10, 2018

SEC Launches Additional Investor Protection Search Tool

May 3, 2018