SEC, FINRA: 5 Tips to Avoid Penny Stock Scams
SEC, FINRA highlight ways investors can avoid dormant shell company scams.
Should 401(k)s Have Bitcoin?
Its advocates acknowledge it's a risky investment but, they say, acceptance is growing, as is interest from institutional investors.
TD Ameritrade Reports Record Earnings for 2014; Advisor Business ‘Firing on All Cylinders’
TD Ameritrade execs talk to ThinkAdvisor about their earnings, how the firm lures wirehouse brokers and what they think of Schwab's new robo-platform.
ERISA at 40: ‘Terrible’ or ‘A Job Well Done’?
While terms used to describe ERISA include “horrible” and “terrible,” a panel of experts agreed Tuesday that the law has had a positive impact.
Merrill to Pay FINRA $6 Million Over Reg SHO Violations
FINRA said Monday that it had fined Merrill's clearing and BD arms for not ensuring that fail-to-deliver positions in short sales were properly closed out.
Third of Clients Say They Didn’t Get Adequate Financial Planning Services
New research from the Financial Planning Coalition shows a lack of appropriate regulatory standards for those who say they are “financial planners.”
SEC, FINRA Enforcement: HFT Firm Charged With Manipulating Closing Prices
In another action, FINRA slapped TD Ameritrade for a recordkeeping failure.
Rep. Garrett to FINRA: Hold Off on CARDS
“After a preliminary reading of the proposed rule, I remain far from convinced that this new, costly and burdensome proposal is needed,” Rep. Garrett says.
The Bizarre Recruiting Case of Alfonso Montoya
A $150 million book of business Wells Fargo promised him never materialized — and then the wirehouse took him to arbitration.
FINRA Arb Panels Lack Diversity, Transparency: PIABA Study
"Diverse groups of people make better decisions," the investor lawyers' group says.