Regulation

Some advisors and industry players are encouraged by the SEC’s endorsement of certain social media practices while others fear it will open a dangerous Pandora’s Box.

Only 40 banks have their own brokerage units, a mere 2% of the 1,809 banks that offer investment services.

Clients can use social media to effortlessly endorse and recommend their investment advisors. Here's what advisors must understand about client testimonials on social media.

As regulatory scrutiny intensifies, advisors must design and support policies and processes to avoid compliance missteps. New technology tools can help.

Lawyers and clients are considering legal action to obtain new arbitration cases or revisit decisions amid allegations that a former FINRA arbitrator lied about being an attorney during his 15-year tenure.

Attorney, author and financial fraud expert Kathy Phelps offers advice on how to protect clients from falling victim to a Ponzi scheme.

Under FINRA rules, plaintiffs may be able to demand a trial.

As service models shift, dually registered advisors have been making big competitive gains. Now the SEC has them in its regulatory sights.

FINRA continues to tighten its rules to make sure investors get suitable advice. Meanwhile, advisors are trying to keep their heads above water.

A former executive of Weymouth Bank’s brokerage division and a former representative of M&T Bank Securities were barred from the industry for serious misconduct.