Fee disclosures

A case involving Moors & Cabot's explanations about its conflicts of interest from cash sweeps signals how the regulator's actions are ramping up.

FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.

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.

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.

A little-noticed change to "overflow" money will push down customers' yields at a time of rapidly rising interest rates — unless they opt out.

The regulator provided a detailed listing of practices subject to tougher client-care standards for disclosure or outright elimination.

The RIA’s customers didn’t receive adequate explanation of its conflicts of interest from no-transaction-fee mutual funds, the regulator says.

The firms respectively settled the regulator’s allegations about suspicious activity reports and the duty of best execution — two major areas of emphasis.

Alpine Securities will seek to overturn a FINRA finding that it saddled clients with “unreasonable” fees and converted accounts without authorization.

The regulator didn’t provide any explanation for the much larger payout, but it did release another similar settlement the following day.