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Coverage providers have come to expect that some clients will find fault with their advisors during down markets, whether the blame is warranted or not.
March 5 -
A lawyer says the industry has been on notice at least since the "Boom Boom Room" scandal of the 1980s that hostile workplaces won't be tolerated.
February 28 -
Industry lawyers say the case shows that "half disclosures" of brokers' conflicts of interest won't be enough for regulators.
February 20 -
Christopher Armstrong and Randall Kiefner question an arbitration ruling finding they owe Charles Schwab nearly $3 million.
February 15 -
With so many compliance systems on the market, regulators are likely to look askance at firms that don't embrace them.
February 13 -
The latest group of firms to be dinged for "off-channel" communications shows encrypted messages remain a source of concern for regulators.
February 12 -
A Republican running for the U.S. House accused the Wall Street powerhouse of violating its own rules by not letting her step aside to conduct a campaign. A FINRA panel agreed.
February 8 -
The charges likely lead to a "layup" situation for FINRA should it seek to oust the broker.
February 2 -
Helen Grace Caldwell told her employees about her side film hustle but neglected to add that her clients were helping her fund it.
January 24 -
The broker-dealer group is questioning the Department of Labor's plans to replace a simpler rule adopted by the Trump Administration to determine when workers qualify as direct employees.
January 18