Displaying 1932 results
Wells Fargo to repurchase $94M in securities from family clients
A Finra arbitration panel has ordered the firm to buy back funds recommended by an adviser
Senators push for tighter expungement rules for brokers
A bipartisan pair of legislators wants to make it more difficult for investment professionals to wipe their disciplinary records clean.
Finra’s call to arms to put clients first
Have you made a New Year's resolution for your business? Here's a suggestion: Worry less about what new…
Seinfeld star’s adviser Bambi Holzer sued by Finra over Provident deals
Adviser to the stars Bambi Holzer is facing the wrath of regulators for allegedly lying to one of her former firms when she sold preferred shares of Provident Royalties in 2008. Her BrokerCheck report is one for the ages.
Finra votes to bump arbitrators’ pay by 50%
That change would increase the cost of arbitration for firms and retail investors, some industry watchers warned. But Finra describes the increases as necessary.
Alts require due diligence
In the wake of fraud allegations over alternative investments, Bruce Kelly warns that advisers need to do their due diligence when choosing an alt. More: Investors defrauded by real estate guru: Finra
Big banks feel the heat from religious investor groups
Friday's breakfast is served: Big banks feel the heat from religious investor groups; Deutsche Bank settles with Finra; the housing recovery's recovery and Jamie Dimon's wacky holiday card
Primerica B-D winning arbitrations on public pension plans
PFS Investments Inc. this year has batted away a handful of similar arbitrations stemming from brokers' mismanagement of public pension plans in Florida.
Two vie in runoff for Finra small firm advisory board
Deadline for ballots in race between Stephen Hart and Myles Edwards is Monday.
Advisers must defend online reputation before it’s too late
One black mark can cause problems, so lay the foundation now All around the advisory industry, compliance…
JHS Capital, former broker slapped with $1.9M arb award
Claimant's lawyer called it the 'most egregious case of churning' he has ever seen
Finra urges brokers to adopt a ‘best interests’ standard
Finra moving inexorably in the direction of emphasizing a fiduciarylike standard.'
Finra’s amended Rule 8210: Where does it end?
B-Ds and reps need to understand the implications of the regulator's document request changes.
Say what? Advisers ask lawmakers for more regulation, fees
Investment Adviser Association, TD, Schwab hit Capitol Hill armed with odd message
Advisers calm clients about shutdown threat
The psychological impact of a potential U.S. government shutdown on already skittish investors is a much greater concern…
B-Ds break social-media habits
Advisers at brokerage firms could be gaining ground on registered investment advisers in the social-media race as technology…
Can regulators stave off ‘massive increase in senior misery?’
Elderly seen as easy target for unscrupulous advisers, fraudsters; Finra zeroing in on complex products
Citigroup to pay arb award over soured real estate
Citigroup Global Markets Inc. last Monday was hit with a hefty $3.1 million arbitration award after two investors…
Finra warns investors on private placements
Finra issued a new investor alert in the lead-up to lifting the general-solicitation ban on private-placement investments.
Finra OKs plan on incentive pay
The Financial Industry Regulatory Authority Inc.'s board has approved a controversial proposal that would require brokers to disclose…
