Compliance

The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.

The wirehouse's traders and salespersons misled and overcharged clients with regard to the securities, the regulator charges.

Other states are likely to enter similar agreements with the broker-dealer.

Keeping brokers and advisors on a separate regulatory track could preserve the “competitive advantage” that RIAs enjoy, says Schwab exec.

While a search is underway to replace Howard Plotkin, his duties are being handled by global Chief Compliance Officer David Lang.

Cory Redding couldn't retire after the 2014 season and played another year to recoup some of his losses.

One of the arbitrators on the three-member panel should have been disqualified, according to the petition.

Before agreeing to settle a client’s complaint, advisors should look for this key clause in the contract.

Robert Dekas claimed the firm breached its fiduciary duty by executing trades in unsuitable investments, says the regulator.

While such an act may seem like career suicide, it can in fact be a move to do just the opposite, according to attorneys.