Regulation

"We believe the things people do over 30 years speaks volumes, and mean more than rumor and innuendo," says Ed Cofrancesco, president of International Assets Advisory, the broker-dealer that hired Jeb Bashaw.

FINRA promotes Richard W. Berry to lead its arbitration unit.

After a FINRA arbitration panel reached a rare split decision in a contract dispute between Gary T. Padussis and UBS, he calls signing bonuses the ‘dark side of the brokerage industry.’

LPL spent $32 million on fines and restitution for the nine months ending Sept. 30 -- about twice the amount the firm spent on such expenses in the prior two years combined.

Transparency, regulation, a changing clientele and products and new security threats - as industry heads gather in Boston this week for the annual FundForum USA conference, attendees say they are looking to their peers to compare practices and seek advice and solutions to challenges facing asset managers.

Over the summer, FINRA fined Merrill $8 million and ordered it to pay back $24.4 million for allegedly overcharging for mutual fund fees.

The “reverse churning” comes in when the client is in a wrap program, despite being a low-volume trader.

Advisor sends his clients on a road trip; 401(k) contributions ‘max’ to rise to $18,000 in 2015; Navigating the new retirement world

Corporate tax reform is likely to be a priority for Congress and the Obama administration no matter which party has control of the Senate after the midterm elections, said tax experts and congressional observers who, nevertheless, differ on how this might impact municipal bonds.

With recent high profile data breaches fresh in mind, here are some best practices and tips to keep you and your clients safe from data threats.