The SEC's proposed advice rule and efforts to strengthen Finra will be among the critical areas next year.
Even when Finra arbitrators decide that a firm reported inaccurately on a broker's dismissal, they rarely award monetary damages.
But the proposal doesn't create "open MEPs," as many in the industry had been hoping.
Award is the largest penalty for UBS involving the Caribbean island to date.
Bank says the settlement relates to product sales goals that were eliminated in 2016
Advisers say people most likely to participate also meet the income and net-worth thresholds to qualify as accredited investors.
Historically speaking, the worst is behind us.
Firm intends to file counterclaim against two brokers who alleged they lost business in the wake of bank scandals.
CFP John Chrin runs as a Republican for a House seat in Pennsylvania; Neal Simon, CEO of an RIA, seeks Maryland Senate seat as an independent.
Agency to consider 'regulatory options' by September, same deadline for SEC's advice rule.
In a Finra arbitration complaint, two brokers allege that Wells Fargo's problems damaged their business.
There's still disagreement over whether disclosure and informed client consent are enough to satisfy a fiduciary's obligation to act in the client's best interest.
Broker alleges he was cheated out of $200,000 in compensation protected by ERISA.
She said lawmakers may have to change 'solely incidental' language that lets brokers give advice.
Document suggests the proposed SEC advice rule is too weak.
To avoid a run-ins with regulators, advisers should run posts by a compliance team.
A shift in control of the House could change the course of important issues, including the SEC advice rule, tax reform and retirement policies.
InvestmentNews poll finds 49.2% approve of his performance, while 46.7% disapprove. How has that changed over the course of his presidency?
Brian Chilton moved to Morgan Stanley instead of Wells Fargo after Credit Suisse closed brokerage business.
John Halsey Buck III was fired by Morgan Stanley in January over private securities sales
