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The commission is visiting far more advisors than just two years ago.
March 8
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Citing mounting investor losses from unpaid arbitration awards, investor advocates see a role for Congress to force FINRA's hand.
March 7
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The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.
March 2
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"I think it's something that the market needs. I think it's something that regulators need," Jay Clayton says.
February 23
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The 84-year-old client wanted to preserve her wealth, but says her advisor made "unsuitable" asset allocations.
February 21
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There’s a way to handle negative press about corporate misdeeds, says recruiter Mark Elzweig.
February 15
Mark Elzweig Co. -
Come forward now or face penalties later, the regulator is warning advisors who failed to disclose conflicts of interest around high-cost mutual fund share classes.
February 13 -
The stolen funds allegedly went to pay for college expenses and credit card bills, according to federal prosecutors.
January 31
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Texas securities watchdog derided the advisor for not considering the costs associated with an equity trading strategy he employed for certain clients.
January 31
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Industry leaders see an opportunity to reshape debates that determine wealth management's future.
January 31
