FINRA Warns of Stock Scams Tied to Ebola, Other Viral Diseases
“News coverage of viral outbreaks, including Ebola and MERS, will likely catch the interest of stock scammers looking to capitalize on fears,” FINRA says.
FINRA Arbitration Head Fienberg to Step Down
Linda Fienberg, an 18-year FINRA veteran, will leave at the end of November.
ERISA’s Midlife Crisis
On ERISA's 40th birthday, a growing chorus of voices say the landmark retirement income security law needs an overhaul.
Fiduciary Advisors Are in Peril: How to Fight Back
To combat the Wall Street-Washington lobbying campaign, fiduciary advisors must state in the clearest possible terms what fiduciary advice means for investors.
Ex-LPL Broker to Pay $1.9M in Fraud Case
At least seven Georgia investors were affected by Blake Richards' schemes, the SEC says.
SEC, FINRA Enforcement: Citi Global Markets Fined $2 Million
In another action, an investor relations firms exec was charged with insider trading.
Schwab-Morgan Broker Battle Is ‘Tricky’: Expert
FINRA has wrapped up its ruling, but arguments over who owns client information when advisors switch firms continue.
Treasury’s Crime Unit Floats New Customer ID Rules for BDs, Mutual Funds
Meanwhile, FinCEN continues to work with the SEC on anti-money laundering rules for advisors.
6 Steps to Complying With SEC Email Regulations
Hiring a vendor to capture and archive emails within your advisory firm is the beginning, not the end, of complying with SEC rules and regs.
Advocates: The 2014 Broker-Dealers of the Year
The 2014 Broker-Dealers of the Year are unabashed proponents of the independent BD model and, yes, their own firms.