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The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.
February 20
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Come forward now or face penalties later, the regulator is warning advisors who failed to disclose conflicts of interest around high-cost mutual fund share classes.
February 13
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The good, the bad and the downright inexplicable in the suggested changes.
February 12
Buckingham Wealth Partners -
Investor advocates laud regulator's newest steps to address the longstanding problem.
February 9
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The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.
February 8
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Commission prioritizes retail investors as OCIE issues its must-read compliance letter.
February 8
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The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.
January 26
Cipperman Compliance Services -
Some guidance is in order to make sure encountering the revised SEC document for the first time goes smoothly.
January 25
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The effort will allow other critical resources to be focused on more substantive matters such as examinations and licensing requirements.
January 22
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The legislation, opposed by most major asset managers, would repeal a requirement that the riskiest funds allow share value fluctuations.
January 19
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Advisors at Fidelity, Schwab and other large discount brokerage firms make more money if they steer clients toward more expensive products.
January 16
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The proliferation of smart beta and increased AUM are among the forecasts by industry experts.
January 12
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The industry group is seeking restrictions on how brokers can describe their services and responsibilities.
January 11 -
Liquidity and valuation are the regulator’s key areas of concern.
January 10
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It’s not easy, but advisors who believe they were wronged can request their records be expunged, an expert says.
January 9 -
Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.
January 4
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As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.
December 27
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More than 15 similar products have been proposed since 2013. Some applications were withdrawn. Others are in purgatory.
December 20
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Digital advice is vulnerable to bait-and-switch and choice manipulation schemes.
December 13
