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The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.
April 21 -
Understandable expenses came out ahead of every other "want" among customers, displaying how transparent costs are an important differentiator for advisors.
March 24 -
The industry's fastest-growing business model puts two very different functions under one roof. Are investors — and advisors — clear on the differences?
March 9 -
Kathryn Dattomo will take over next month from a leader who doubled the planner group's membership and led efforts to enforce strict fiduciary standards.
February 14 -
The federal regulator's annual list of inspection priorities shows particular concern that hybrid advisor/brokers aren't properly explaining to clients how they're compensated.
February 8 -
A case involving Moors & Cabot's explanations about its conflicts of interest from cash sweeps signals how the regulator's actions are ramping up.
January 31 -
FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.
January 11 -
CapWealth Advisors founder Tim Pagliara said a federal jury sided with the firm because its clients had, in fact, paid lower overall fees on their mutual funds.
November 10 -
Midsize wealth manager Kovack Securities and its CEO settled two matters last month dating to his time as a member of FINRA's Board of Governors.
September 6 -
A little-noticed change to "overflow" money will push down customers' yields at a time of rapidly rising interest rates — unless they opt out.
August 11