InvestmentNews (April 12, 2018) -- Investor advocates and industry representatives are both hopeful and concerned after studying overview of proposal slated for release on April 18.
The sneak peek…
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FinancialPlanning (April 12, 2018) -- The SEC plans to move forward with a proposal to impose new standards of care for investment advisors and broker-dealers who work with retail investors,…
InvestmentNews (April 11, 2018) -- The scheme involved soliciting the clients of another barred adviser
An unregistered investment adviser has been barred by the Maryland attorney general's office…
InvestmentNews (April 5, 2018) -- Broker-dealer drops effort to stop 60 cases related to steep Merrill stock dive in 2007-08
A lawyer for dozens of former Merrill Lynch managers said they have a good…
FinancialPlanning | OWS (March 29, 2018) -- After nearly 30 years regulating Wall Street firms, Susan Axelrod is about to join one of the biggest brokerages she helped oversee: Merrill Lynch.
Axelrod…
Financial Advisor IQ (March 27, 2018) -- A Finra panel has ordered a pair of former brokers to pay back clients $845,000 over losses tied to a multimillion-dollar stock fraud scheme, InvestmentNews…
InvestmentNews (March 27, 2018) -- The question now becomes whether Alliance Affiliated Equities Corp. will be able to collect the arbitration award, a problem investors often face
t's not just…
Financial Planning | BIC (March 22, 2018) -- Parties to a FINRA arbitration will no longer have to pay a $400 fee for an explanation as to why the arbitrators ruled the way they did, according to a…
Financial Advisor IQ (March 20, 2018) -- Finra has what it takes to address the hundreds of millions of dollars that go unpaid from its arbitration awards, and the time to act is now, InvestmentNews…
The Hill (March 19, 2018) -- Much of Wall Street regulates itself through self-regulatory organizations overseen by the continually underfunded Securities and Exchange Commission (SEC).
The…