PR Newswire (March 7, 2018) -- "The Problem is Not Solving Itself" and FINRA Discussions Seen as Inadequate; NFL Player Is Typical of Individuals Losing Life Savings, Getting $0 of Awarded Funds.…
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In the Media
InvestmentNews (March 6, 2018) -- Legislation directs the regulator to use fines to establish a pool of money to cover shortfalls
Sen. Elizabeth Warren, D-Mass., introduced legislation Tuesday that…
ThinkAdvisor (March 6, 2018) -- Sen. Elizabeth Warren, D-Mass., introduced legislation Tuesday to require the Financial Industry Regulatory Authority to use its existing authority to compensate…
InvestmentNews (March 5, 2018) -- About 60 former wirehouse staff claim they lost about $400 million when their Merrill stock dropped in 2007-08 due to the firm's exposure to mortgage-backed…
InvestmentNews (February 26, 2018) -- Changes will be pegged to brokers' 2018 bonuses instead of those for 2017. But is this a trend other firms will follow?
Just days after rolling out new non-…
Financial Advisor IQ (February 26, 2018) -- Experts say UBS’s recent inclusion of a non-solicitation clause in agreements tied to its reps’ bonus payouts was a sneaky move — and that other wealth…
InvestmentNews (February 22, 2018) -- UBS brokers must sign a 12-month non-solicit agreement if they want to get their 2017 bonuses
UBS Financial Services, which followed Morgan Stanley to become the…
InvestmentNews (February 22, 2018) - UBS Financial Services, which followed Morgan Stanley to become the second wirehouse to exit the broker protocol late last year, has stepped up restrictions on…
FinancialPlanner (February 9, 2018) -- In what could be a step toward solving its longstanding problem with unpaid arbitration awards, for the first time FINRA has released data about the issue with…
Financial Planning (February 9, 2018) - In what could be a step toward solving its longstanding problem with unpaid arbitration awards, for the first time FINRA has released data about the issue with…