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Trading watchdog FINRA’s new post-COVID work-from-home rules ‘causing headaches’
Market Watch· 6 days ago“FINRA adopted rules that are intended to facilitate remote work, but those rules are cumbersome,...
The Number Of FINRA Regulated Funding Portals Declines | Crowdfund Insider
Crowdfund Insider· 1 day agoIn the past, CI has tallied the number of FINRA-regulated Funding Portals active in the Reg CF (Regulation Crowdfunding) sector. Funding Portals are intermediaries created ...
Devil is in the detail of Finra's new remote inspections pilot - InvestmentNews
InvestmentNews· 2 days agoThe effectiveness of constructive engagement was evident yet again earlier this year. In January, ...
FINRA imposes censure and $250,000 fine on “influencer” company for misconduct and privacy notice...
JD Supra· 2 days agoFrom 2020 to 2022, the firm was found to have compensated influencers for social media content that was not fair and balanced and contained exaggerated claims, violating FINRA
Learn More About Payton Allen in Tulsa, OK.
US News & World Report· 3 hours agoPayton Allen is a financial advisor in Tulsa, OK. Find a financial advisor who specializes in the area of expertise you require. An advisor with a...
FINRA study examines trust in AI for financial advice | JD Supra
JD Supra· 7 days agoOn June 4, the FINRA Investor Education Foundation published a new study which revealed consumers may be more likely to trust personal finance advice from AI-generated sources ...
Vernon Litigation files Multi-Million dollar FINRA arbitration claim against both LPL and Wells...
Morningstar· 2 days agoNAPLES, Fla., June 17, 2024 /PRNewswire/ -- Vernon Litigation and Attorney Kristian Kraszewski filed a multi-million dollar FINRA arbitration claim earlier this month. The ...
Wells Fargo fires more than a dozen employees for faking work using mouse jigglers and keyboard...
Tom s Hardware· 6 days agoThe good old mouse jiggler is alive and well
Ex-Merrill Broker Barred for Allegedly Naming Wife as Beneficiary on Client Accounts
Barrons.com· 6 days agoFinra, the brokerage industry’s self-regulator, began investigating Imdadur Rahman after Merrill...
Wells Fargo Fires ‘Mouse Jigglers’ Taking Aim At Fake Work And Other Trends
Forbes· 2 days agoWells Fargo fired over a dozen employees last month after an internal investigation revealed workers...