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The proposal comes amid the broker-dealer regulator's push for a pilot program to test out branch reviews done at a distance rather than in person.
September 27 -
Americans over age 60 reportedly lose $28.3 billion each year to fraud. The problem may be even worse than advisors thought, a new study says.
September 25 -
The changes come in response to questions that arose over the previous removal of a member from one of the regulator's three-person arbitration panels.
September 8 -
The regulator accused a broker-dealer of not having proper supervisory procedures to prevent $533,500 in excessive transactions.
September 6 -
A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.
August 22 -
The Wall Street regulator tweaked how it handles frequent inspections after the GAO uncovered shortcomings in its practices two years ago.
August 21 -
An Army financial counselor defrauded loved ones of fallen soldiers for millions of dollars while breaching the rules of his position, federal prosecutors say.
July 12 -
A staff member in the firm's fraud investigations group found reporting failures dating back to 2009.
July 12 -
Fiduciary responsibility, pay discrimination and FINRA remote work rules for broker-dealers are just some of the issues facing the wealth management industry.
June 30 -
Betsy Jo Merritt accused regional directors of undermining her succession plan and causing the loss of millions of dollars in damages.
April 28