Regulation

Barry Snyder’s complaint depicts him as a victim of federal investigators and the bank, with both sides threatening to turn on him.

As the financial planning industry nears a fee-only, fiduciary world, independent broker-dealers will face some important choices about their future business models.

Though largely replaced by the 1% of AUM model, performance-based fee structures are cropping up again — and that’s cause for concern.

IBDs and regional firms are making the biggest changes, but RIAs have room for growth as well.

She'll now be responsible for supervisory operations at one of the largest firms she once helped regulate.

The revised code of conduct will broaden fiduciary responsibilities for planners, but critics say the framework falls short on disclosures and conflicts.

The broker belonged to Morgan Stanley's Chairman's Club, a group reserved for the elite among the firm's advisor ranks.

The regional BD failed to properly document its own investigations in the matter, and couldn't answer some SEC questions about who knew what and when, the regulator says.

National Financial Services accused the brokers' former IBD of breach of contract in a case displaying the complexities of such moves.

The broker also purportedly neglected to disclose an outside real estate business to BBVA, FINRA said.