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As part of a multi-year initiative, the commission has unearthed numerous deficiencies in how advisors and brokers work with and market to clients planning for retirement.
February 24 -
The firm has launched a new online tool that it says will help advisors at partner banks and credit unions expand their relationships with clients.
February 24 -
One impersonated a client, another grabbed client funds via ATM withdrawals and a third stole from a nonprofit, FINRA says.
February 23 -
A new study finds that 36 online calculators provide "extremely misleading" advice about retirement planning; plus, dreams of living well in retirement dim for Americans.
February 23 -
The industry regulator handed out a lifetime ban, fines and suspensions to three brokers involved in a scheme to pump up the trading price and volume of stock.
February 23 -
Brokers' clients received letters from LPL that implied he stole money, over a $20,000 loan he had repaid, lawyer says.
February 23
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Can FlexScore provide a "hand-on-your-shoulder" experience online by focusing on a client's life, rather than investment strategy?
February 22 -
Over half of people in their 60s have done no retirement planning in the past three years, according to one survey; plus, Medicare's biggest problem is not what your clients think.
February 22 -
In the latest in a series of cases, an arbitration panel has sided with a client against UBS, ordering the wirehouse to pay nearly $1.5 million in damages related to UBS' sale of Puerto Rican bonds and closed-end funds.
February 22
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Advisors should go behind the music before signing up tomorrow's stars.
February 22
