Financial services firms may be failing to disclose disciplinary history on their Form CRS for a variety of reasons, from intentionally covering past misdeeds to failing to provide proper oversight on ...

Securities and Exchange Commission examiners are finding that broker-dealers and registered investment advisor firms are leaving their disciplinary histories off the agency's new customer relationship ...

The Securities and Exchange Commission warned financial firms not to omit the disciplinary history of the firm or its personnel from a new disclosure document. Top agency officials said SEC staff ...

A Colorado firm specializing in private placement recommendations for retail investors failed to disclose reps’ legal and disciplinary history on its Form CRS, according to FINRA. The settlement with ...