FINRA

Regulator puts brokers on notice about its top concerns for 2019.

Our industry is not becoming more consolidated. It’s becoming more fragmented.

There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.

The SEC is running on a skeleton crew that effectively halts routine oversight.

Investigators say the onetime FiNet branch manager preyed on “particularly vulnerable” clients, including several with dementia.

The decision by Carson Group’s CEO came after a two-year examination of the business revealed some changes that needed to be made.

In this circus of an industry, what chance does an average investor have of finding somebody who will actually work on his or her behalf?

The regulator accuses her of misconduct; she says the agency is doing Morgan Stanley’s bidding.

The alleged supervisory lapses occurred over a five-year period, according to the regulator.