Firms allegedly charged excess fees on education savings plans
More than 2,800 trades were placed in the accounts of a client with a severe impairment
New report says expungements are being granted "as a matter of course"
Retail investors' knowledge is "alarmingly low," according to report
FINRA has developed resources to help firms comply with the SEC's new conduct rules
Scams with the highest engagement and victimization rates involve social media
The U.S. self-regulatory organization's head of enforcement is stepping down after two years
Settlements generate US$89 million in restitution
SRO clarifies what firms and individuals can do to earn credit for ‘extraordinary‘ cooperation
The SEC and FINRA issued a joint statement addressing digital securities on Monday