Compliance

The regulator rebuked the broker for excessive trading that generated more than $666,000 in commissions and fees and resulted in $397,000 in losses.

The self-regulator is modifying its much-maligned process, addressing transparency and arbitrator qualifications, among other concerns.

NorthStar communications executive Chelsey Duncan said the firm embraced this concept with the addition of a digital marketing coordinator in January.

Organization takes the case "to put a spotlight on a bank that may have engaged in misconduct more significant than Wells Fargo's."

Firms must ensure that best interest practices are part and parcel of every investment deal.

After investing millions in new platforms and preparing thousands of advisers, executives say they've come too far to reverse course.

FINRA chided the rep for following through on trading instructions received via email from bank employees without confirming the transactions with the customers.

Following a year of slowed deal activity, a PwC report addresses the added challenges managers face amid the developing economic, tax and regulatory agenda of the new administration.

Meanwhile, a prominent Republican congressman called on President Trump to delay the regulation's implementation.

‘Hey, you, get off of my cloud.’ What wealth managers should know about the risk-reward of cybersecurity.