The Practice: Regulatory/legal issues
-
May 22, 2018Finra Panel Awards UBS $9.72MPanel rules in favor of wirehouse in a case of a previous settlement with the ex-wife of a former UBS client.No Comments
-
May 22, 2018Do Broker Hiring Practices Lead to Discriminatory Environments?The fact that advisors often pay their own assistants means the industry is ripe for harassment and discrimination lawsuits, industry experts say.No Comments
-
May 22, 2018The Key Role Finra Would Play in the SEC's Best Interest RuleFinra CEO Robert Cook says the SEC will be responsible for interpreting what is required by the best interest rule.No Comments
-
May 22, 2018Morgan Stanley Breakaways Sue Wirehouse for Client AccessBrokers turn the tables on wirehouse, which recently left the industry accord.Last Comment: May 22, 2018
1 Comment -
May 21, 2018FAs Reveal Secrets to Winning and Advising Americans AbroadAdvising U.S. citizens abroad means jumping hurdles to service them, but a prize waits for FAs that can.No Comments
-
May 21, 2018Three States Continue the Fight to Save DOL’s Fiduciary RuleCalifornia, New York and Oregon ask Fifth Circuit Court to reconsider its refusal to let them in on a lawsuit challenging the best-interest rule.No Comments
-
May 18, 2018SEC Settles with FA Over Alleged $71 Million Fraud SchemeWilliam Jordan allegedly lied to investors and inflated account values to boost his fees.Last Comment: May 18, 2018
1 Comment -
May 18, 2018Does BrokerCheck Do More Harm Than Good?Finra says investor protection must prevail.Last Comment: May 21, 2018
6 Comments -
May 17, 2018Departing NY AG Facing Abuse Allegations Had Made Name as Investor ChampionThe former AG accused of physical abuse of four women was a defender of the DOL’s fiduciary rule.No Comments
-
May 17, 2018Board ‘Dysfunction’ Amid ‘Vile’ Dispute Was Behind Demise of New York Chapter, Says FPABut one critic says the association should have acted with more transparency.Last Comment: May 17, 2018
1 Comment
