Compliance

The firm is accused of negligence, breach of contract and other misconduct, according to a copy of the award.

An arbitration panel ruled that the firm had failed to properly supervise the adviser.

The strategy raises tricky tax reporting and regulatory questions.

Executives from the Alternative and Direct Investment Securities Association discuss challenges the nontraded REIT industry faces in light of the DoL's newly introduced fiduciary rule.

The heavy buying in the ETF continued on Thursday, with two trades worth a combined $57 million.

"I expect a seismic change as product manufacturers will have to adapt to the new rule," says NextCapital's Rob Forreger.

The broker allegedly talked clients into investing $115,000 in a technology startup where his friend worked as a computer programmer.

Sanjay Valvani was one of four people accused of insider trading and reaping more than $32 million from trades in drug companies using secret tips, according to federal prosecutors.

How investors' fear of stock market turmoil may be shaping the future of certain ETFs.

Perspectives on the state of asset management from industry leaders and experts.

The firm allegedly settled a dispute with two customers on the condition that they would not oppose efforts to expunge the details of the dispute from the Central Registration Depository system.

The group aims to provide planners with new technology focused on helping a firm become compliant, but it may cost them.

The regulator says that it issued a notice in 2009 to broker-dealers regarding the risks and complexities of nontraditional ETFs. FINRA says Oppenheimer failed to implement these policies.

The firm is facing a lawsuit on behalf of investors who lost money in a $350 million Ponzi scheme.

A longstanding obstacle is getting banks to recognize the opportunities in the wealth business, says Arthur Osman, executive vice president and institution service business consultant at LPL.

Quantum Advisors, which picks Indian stocks for Norway’s $860 billion wealth fund, says investors should stay away from index investing in Asia’s fourth-biggest market.

Some insiders at big brokerage firms encouraged the DoL to maintain progress. "That kept us going," Assistant Secretary of Labor Phyllis Borzi says.

Careful steps need to be taken so FINRA won't consider it an outside business activity, says compliance expert Alan Foxman.

The new rules were developed in consultation with the SEC, the Labor secretary adds.

Three weeks after the broker killed himself, the firm agreed to a confidential settlement with his wife for an undisclosed amount.