Regulation

The firm is preparing for the fiduciary rule and contesting a lawsuit alleging that Raymond James allowed a $350 million fraud to be perpetuated.

The bank has made no secret that it planned to put more pressure on vendors.

One barred broker borrowed funds from clients without approval, according to FINRA.

A revenue boost for the firm's asset-management unit is key and could play a role in raising capital that's been eroded by misconduct charges.

Too much growth has led to a slowdown in business efficiencies. Smart firms need to fix their operating models.

The industry will experience an acceleration of the technology as firms meet data challenges, says Todd Moyer, an executive vice president at Confluence.

The regulator reprimanded Citizens’ retail brokerage for not amending reps' Forms U4 and U5 within 30 days of learning of complaints.

There's a better way to craft a standard that would protect investors and preserve client choice.

The brokerage industry’s watchdog would also want to play an active role in the design of a possible SEC fiduciary regulation, Robert Cook says.

The rep purportedly stole $8,700 from an account funded with donations, according to FINRA.