Compliance

Advisors failed to win FINRA arbitration case for compensatory damages in excess of $5 million for a number of grievances.

A man accused of being part of an insider-trading scheme, and whose alleged co-conspirators include an ex-Morgan Stanley broker, will avoid paying a fine in settle SEC claims.

Those looking for easy answers from a government report about what caused recent volatility in the Treasury markets — including whether regulation is to blame — were likely disappointed.

White House reiterates support for controversial fiduciary proposal, outlines new initiatives to expand access to retirement savings plans.

The brokerage wants a judge to stop the former employee from claiming she remains employed by the firm, and from disclosing proprietary information on Facebook and other social media.

A private client banker with J.P. Morgan Chase allegedly took $200 from a customer's wallet; and a personal banker from Wells Fargo Bank allegedly endorsed a check made payable to a client and deposited it into her personal account.

Paul Reilly calls for more cooperation between regulators and the industry.

Asset management trade group appeals for restraint from U.S. and foreign regulators evaluating firms for designation as systemically important institutions.

Asset management trade group appeals for restraint from U.S. and foreign regulators evaluating firms for designation as systemically important institutions.

Rule-making at the SEC went from looking at information to be viewed by potential and current investors to collecting large chunks of data to be loaded in some future database and processed by analytics software.

As waves of Americans reach retirement age while dementia and scams are on the rise, advisors need to implement training and reporting mechanisms to protect vulnerable clients.

The Camardas' suit was prompted by board’s disciplinary policies; experts call on judge to reveal his reasoning for the good of the planning profession.

Manulife Asset Management is expanding globally, and its president and CEO, Kai Sotorp, says that the $300+ billion global asset manager isn't doing it for the adventure. "We're just simply responding to that growth," he tells Money Management Executive.

The moves represent another blow to Barclays, which lost five advisors in advance of a pending deal to sell its U.S. wealth management operations to Stifel.

A FINRA arbitration panel ordered BNP Paribas Securities to compensate the couple for the losses they suffered as a result of an unsuitable security the firm sold them.

FSI endorses IBD head Brian Kovack for FINRA post; Kovack hopes to win mid-sized IBD seat in which he would says he would represent firms, not investors.

The brokerage firms failed to waive mutual fund sales charges for certain charitable and retirement accounts, FINRA says.

Mike Greene will serve out the term of Joe Votava, who resigned earlier this year as chair-elect due to personal and business reasons.

Analysis: The original version put financial advisors under onerous requirements that I have not heard of any other industry having, writes recruiter Michael King.

A key component to a successful wholesaling and marketing plan to capture AUM includes identifying wire houses, regional platforms, and other RIAs who currently use your existing products and indicate strong interest in owning your ETF.