JD Supra15h
FINRA Issues 2025 Annual Regulatory Oversight Report
FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight ...
‘I’m concerned that I’ve been taken advantage of.’ A financial adviser sold me an $800K annuity, but I now realize the fees were 3.5% and the planner has been sued by ...
I hired a financial planner who recommended an annuity. The annuity yields me 5% per year on about $800,000 invested, with return of principal pay ...
InvestmentNews1d
Finra sanctions smoothie-throwing broker over alleged cash reporting failures
Former Merrill Lynch broker James Iannazzo, who was fired in 2022 after his tirade at a smoothies shop in Connecticut went ...
JD Supra2d
FINRA’s 2025 Annual Regulatory Oversight Report: Playing the Hits, With Some Important Additions
Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such as financial crimes prevention, ...
The National Law Review3d
FINRA Facts and Trends: February 2025
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting ...
LPL Financial Welcomes Lex Wealth Management
Advisors, learn how LPL Financial can help take your business to the next level.