FINRA

An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.

As wealth managers brace for new enforcement cases under Reg BI, a case stemming from conduct four years ago may offer some clues about what’s to come.

A panel of FINRA arbitrators unanimously ordered the award against the megabank based on Erin Ann Daly’s claims of gender-based discrimination.

The regulator gave the firm credit for “extraordinary cooperation” despite alleging that its system failed for six years to the tune of more than $13 million.

Firms like Morgan Stanley, Goldman Sachs and Commonwealth have made changes under the rule, but the SEC is sending tough and vague messages.

More financial advisors are accusing independent wealth managers of acting like wirehouses and other employee brokerages upon their departures.

With recent cases as teachable moments on what not to do, two of the top cops on the wealth management beat offer lessons to the industry.

Alternative investments such as leveraged or inverse ETFs, complex exchange-traded products and options remain areas of concern to the regulator.

Market volatility and the Fed's interest rate increases aren't likely to reverse the trend.

While the regulator claims stricter access and education requirements may protect retail investors, it’s argued that financial advisors can do a better job.