The Practice: Regulatory/legal issues
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April 18, 2019These 400 Broker-Dealers Made the Financial Times 2019 List of Top AdvisorsManaging client relationships is becoming more important to the group.No Comments
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April 18, 2019SEC Warns of Key Risks for Client Privacy and Data SecurityThe regulator’s examiners found various instances of inadequate safeguards and missing polices and procedures.No Comments
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April 18, 2019Finra Bars Another Former LPL BrokerThe FA allegedly refused to testify for an investigation into whether she had sold products that belonged to her supervisor or LPL.No Comments
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April 18, 2019Industry Lobbyists Sharpen Knives for N.J.’s Fiduciary RuleBut some RIAs say it’s about time the brokerage industry was held to a higher standard.No Comments
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April 17, 2019Morgan Stanley Pins Hopes on Changing Judge's Mind in Texas Defection FightThe wirehouse says it's a case of "egregious employee disloyalty, breach of contract, unfair competition, and misappropriation of confidential information ..."No Comments
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April 17, 2019RBC Ordered to Pay Back $50,000+ for Broker’s Alleged ActionsFinra arbitration panel ruled RBC Capital Markets violated Finra rules and Florida state law after broker recommends risky oil and gas investments.No Comments
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April 17, 2019Finra Bars Broker Who Allegedly Engaged in Annuity SwitchesThe bar ultimately came from the FA withholding documents during Finra’s investigation and for cheating on continuing education.No Comments
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April 16, 2019White House Says Independent Regulators Must Coordinate Rules Prior to Public ReleaseIndependent agencies will need to submit new rules to the Office of Information and Regulatory Affairs for review prior to making them public.No Comments
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April 16, 2019New Jersey Unveils State Fiduciary ProposalFSI says the state should wait for the SEC’s Regulation Best Interest.No Comments
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April 15, 2019SEC Bars Ex-Voya FA Serving 65-Month Prison TermMartin Stancik pleaded guilty to mail fraud and aggravated identity theft in 2017.No Comments
