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The regulator provided a detailed listing of practices subject to tougher client-care standards for disclosure or outright elimination.
August 3 -
The RIA’s customers didn’t receive adequate explanation of its conflicts of interest from no-transaction-fee mutual funds, the regulator says.
July 25 -
The firms respectively settled the regulator’s allegations about suspicious activity reports and the duty of best execution — two major areas of emphasis.
May 23 -
Alpine Securities will seek to overturn a FINRA finding that it saddled clients with “unreasonable” fees and converted accounts without authorization.
March 30 -
The regulator didn’t provide any explanation for the much larger payout, but it did release another similar settlement the following day.
March 11 -
Despite industry criticism, the regulator’s ongoing wave of cases has expanded into allegations that wealth managers breached their duty of best execution.
March 3 -
The cuts continue a trend that started 20 years ago.
February 10 -
The regulator has charged about 100 other wealth managers with failing to explain 12b-1 fees tied to their mutual fund recommendations.
January 12 -
The firm faces an additional penalty after it didn’t participate in the regulator’s self-reporting initiative.
December 21 -
In the wake of the regulator’s latest risk alert, compliance experts identify several steps advisors can take to stay clear of more cases and deficiencies.
November 15