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Misleading disclosures linger as advisors try to rebuild reputations with expungement

Even if advisors get a disclosures removed from their records, the damage done online can be difficult to manage. ....

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Chicago Court Issues Consent Order Settling CFTC Case Against Kraft After Seven Years

On Friday, the Northern District of Illinois issued a consent order outlining the settlement terms between the parties in U.S. Commodity Futures Trading ....

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Cetera ordered to pay broker $3M in FINRA arbitration case

A 38-year veteran financial advisor won a significant award in FINRA arbitration after a brokerage claimed he made unauthorized trades. ....

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Alabama regulator intervenes in broker expungement case

Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award. ....

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Judge Reprimands Agency for Violating Confidentiality Requirements in Settlement Negotiations with Kraft Foods

Judge Reprimands Agency for Violating Confidentiality Requirements in Settlement Negotiations with Kraft Foods
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