The Practice: Regulatory/legal issues
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December 10, 2018Finra Reveals Broker-Dealer Suitability FailsRevelations may tip Finra's hand on how it will handle oversight of the SEC’s pending Regulation Best Interest.No Comments
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December 10, 2018Indie FAs Sue Former RIA Alleging Their Business Was Held for “Ransom”Advisors say they were held “hostage” when they left their old firm.No Comments
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December 10, 2018RBC Wealth Management Helps Fight Financial AbuseThe company is also sponsoring Sifma’s initiative to protect senior investors.No Comments
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December 7, 2018UBS to Tackle Critical Sunset Packages Question in CourtBankrupt advisor's trustee raises key concern for many FAs.No Comments
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December 7, 2018Get Your Hands Off Fiduciary Rules, Sifma Warns StatesMultiple state regulations governing brokers and advisors would lead to inefficiency, higher costs and potential restriction of choice, lobbyists warn.Last Comment: December 7, 2018
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December 7, 2018RIAs Slate RAND Corp’s “Flawed” Work on SEC Best Interest RegIAA says testing of proposed Form CRS was “substantially flawed.”No Comments
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December 7, 2018Ex-FA With 48 Disclosures Gets 7 to 20 Years in PrisonAdvisor pleaded guilty to embezzlement and stealing $3 million from clients.Last Comment: December 7, 2018
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December 6, 2018Edward Jones Settles Lawsuit Against Fired AdvisorThe firm had sought to bar the FA from contacting former clients.No Comments
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December 6, 2018Law Firm Bulks Up With Ex-Finra LawyersThree of the attorneys join directly from Finra, according to the firm.No Comments
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December 6, 2018Glitch Costs LPL Hundreds of Thousands of DollarsThe software glitch allegedly led to improper review of certain emails by LPL supervisors.No Comments
