James Walesa Disclosed His Outside Business. FINRA Still Saw A Bigger Question.
FINRA’s James Walesa case shows how outside businesses, private investments, client complaints and broker-dealer supervision can collide.
James Walesa Was Barred. The Bigger Story Is What FINRA Could Not Examine.
FINRA barred ex-Arkadios and Triad broker James Walesa after he failed to cooperate with an investigation into private investments.
Why Cetera’s AML Fine Matters Beyond The $1.1M Penalty
FINRA fined three Cetera firms $1.1M over AML, low-priced securities supervision and consolidated report failures.
FINRA Is Warning Firms About AI. What About The Old Fraud Playbook?
FINRA’s 2026 report spotlights AI and cyber fraud, but GPB and GWG show why broker-dealer product supervision still needs attention.
An Advisor Tried To Sue FINRA To Clean His Record. The Court Said No
A federal court dismissed an advisor’s direct lawsuit against FINRA, reinforcing limits on BrokerCheck expungement and advisor reputation control.
Osaic-Owned Firm Must Repay Millions. The Real Story Is Client Cash
FINRA ordered Osaic-owned American Portfolios to repay customers over cash sweep fee and interest disclosures, keeping client cash scrutiny alive.
NASAA Says FINRA’s Outside Activities Rule Could Leave Investors Exposed
NASAA urged the SEC to toughen FINRA’s Rule 3290 proposal, warning that side businesses and private deals could evade broker-dealer oversight.