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Judge lets Finra proceed with enforcement action against broker

A federal judge last week denied a broker's effort to stop Finra from disciplining him.

United statesHugh berksonLos angelesEugeneh kimPatrick mahoneyPublic investors advocate bar associationUs courtAlpine securities corpExchange commissionNational securities corpFinancial industry regulatory authorityNational securitiesJudge anaAlpine securitiesRita de ramosMaloney act

Financial Professionals Coalition seeks to help disenfranchised advisors

Former Finra board member Stephen Kohn says the group will help advisors with questions about careers, disciplinary records and much else.

Linde murphyBill singerStephen kohnSally jenkinsWendy lantonSmall firm advisory committeeStephena kohn associatesFinancial industry regulatory authority incFinancial professionals coalitionAdvisor groupBley investment groupFinancial industry regulatory authorityRita de ramosBley investmentFinra boardSportswriter sally jenkins

Cetera brokers must get approval for M&A deals

The independent firm told financial advisors that selling their own practices without a greenlight from the corporate office could draw FINRA scrutiny.

United statesBlue bellMatthew liebmanJon henschenMorgan stanleyBrian hamburgerJoe nearyHamburger law firmExchange commissionCommonwealth financial networkCetera financial groupAdvisor groupRepresentatives for the financial industry regulatory authorityCompliance departmentLos angeles basedFinancial industry regulatory authority

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