Regulation

The rep opened and funded an account with an IRS tax-refund check that was later connected to a fraudulent filing.

A FINRA arbitration panel sided with UBS, which sought damages for breach of promissory notes.

Massachusetts securities authority goes further than SEC or FINRA in its examination of automated advice.

Labor Department event planned for next week.

CUSO and Infinex plan to not only lower minimums and adjust pricing on advisory accounts but also partner with digital advice providers in a bid to serve a wide range of customers.

A key challenge posed by the pending fiduciary rule: are firms going to be active managers or are they going to be financial advisors?

A recent FINRA action against Raymond James is the latest evidence of competitive tensions in the brokerage sector spilling into alleged privacy violations.

The self-regulatory organization acted out of concern for the client who might not be aware of the important factors relating to moving their assets with an advisor switching firms.

Having good digital solutions can help advisors and clients deal with upcoming regulation, says a top Ladenburg Thalmann executive.

With a rise of class-action lawsuits in the offing, the smallest investors could get the cold shoulder.