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Advisorhub (September 19, 2023) - The Financial Industry Regulatory Authority continues to bring enforcement actions over violations of the three-year-old Regulation Best Interest rule and this week…
Investment News (September 14, 2023) - Over nearly three years 'our branch examiners have refined their skills and become very adept at identifying risk remotely,' insists LPL Financial.
State…
InvestmentNews (August 24, 2023) - A brokerage and a rep, both targets of Finra disciplinary actions, have filed suits questioning the regulator’s constitutionality.
A Washington, D.C., federal…
Massachusetts Lawyers Weekly (August 28, 2023) - Where a plaintiff filed a complaint challenging the validity of a state regulation that brings the fiduciary obligations of broker-dealers in line…
ABS Market Research (August 16, 2023) - The process for removing customer complaints from broker records is as simple as erasing pencil traces off paper. It’s also invisible to the public. The…
AdvisorHub (August 14, 2023) - Come October, brokers may have a tougher time erasing customer disputes from their public record.
The Financial Industry Regulatory Authority has adopted a raft of…
InvestmentNews (August 14, 2023) - Securities attorney hails 'good day for Finra and an even better day for investors.'
Attorneys who represent investors in actions against brokerages and registered…
WealthManagement (August 14, 2023) - The adopted amendments released last week will cut down on alleged abuses in the expungement process, according to a former president of the Public Investors…
Financial Planning (August 7, 2023) - Brokers are getting at least another month to comment on a proposal that would let them conduct their internal inspections of home and branch offices remotely.…
InvestmentNews (August 3, 2023) - But LPL Financial, Fidelity back the idea of allowing supervisors to work from home, using technology to oversee reps, as they did during the pandemic.
State…