FINRA Arb Panel Grants $500K to Ex-Morgan Stanley Rep
The advisor, now with FiNet, said the firm had pushed him out and tainted his reputation.
SEC, FINRA Issue Robo-Advisor Warning
The regulators tell investors to consider automated tools’ limitations before using them.
LPL Names Wright to New CTO Slot
The new IBD executive reports to Chief Information Officer Victor Fetter.
SEC, FINRA Enforcement: Former Wilmington Trust Officers Charged With Fraud
Meanwhile, FINRA censured, fined First New York Securities for inadequate insider trading procedures
LPL to Pay $12M FINRA Fine for Failing to Supervise Sales
FINRA censured and fined LPL for broad supervisory failures involving sales of nontraditional ETFs, VA contracts and nontraded REITs.
Toward a Workable Fiduciary Standard for Brokers: The 7 Questions
To tell if brokers are really acting like fiduciaries, ask these seven questions about a client's portfolio to check for possible broker abuses.
5 Key Issues for a Succession Plan
In recent statements, SEC Chairwoman White has indicated that some requirement for succession planning will be incorporated into the much-anticipated uniform fiduciary duty rule.
FINRA’s Ketchum Criticizes DOL Fiduciary Plan
FINRA CEO says DOL's safe harbor descriptions are "narrow" for BDs and that the CARDS plan is on hold until security concerns are addressed.
SEC Urged to Beef Up FINRA Oversight: GAO
SEC is falling short on supervision of the self-regulator in three areas, GAO says.
LPL Earnings Decline but Revenues, Assets Rise
The IBD paid $11 million in regulatory charges for the quarter but expects such costs will decline later in '15.