Enforcement

The dealer entered into two municipal bond orders into a recently deceased customer's account.

The Financial Industry Regulatory Authority previously sanctioned UBS in 2015 for similar violations.

The New York-based firm mismarked 90% of its municipal securities trades, FINRA found.

FINRA settled with two parties after they violated MSRB Rule G-17 by whiting out dates and failing to disclose a $2 million fee up until an issuance.

The Treasury and Internal Revenue Service sent the final regulation to the White House Office of Management and Budget over six weeks ago.

The audit concluded a year and one day after the sports authority received a letter dated April 4, 2018, informing it that the tax-exempt status of the bonds was being examined.

The firms are saying they shouldn't have to participate in the disclosure, which could lead to a clawback of bond payments.

A former municipal advisor accused of billing a city thousands of dollars for services it did not receive is now facing criminal fraud charges.

A Chicago area broker-dealer agreed to pay a $25,000 to settle FINRA charges that it relied on alternative trading systems and failed to maintain its own risk-management controls.

While associated with J.P. Morgan, a broker allegedly cheated on her Series 52 exam, violating FINRA Rule 2010.