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New FINRA rules will help the wealth management industry do its part to identify and prevent elder abuse.
February 21
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The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.
February 20
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Massachusetts regulators accuse the firm of running afoul of the impartial conduct standard by holding sales contests.
February 15
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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
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The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.
February 8
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The regulator found the firm was deficient on capital requirements and, on 84 occasions, did not accurately calculate its customer reserve requirements.
February 5
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The new law will affect how financial advisors and clients evaluate the pros and cons.
January 23
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Compliance and technology hurdles have snarled firms’ efforts to address a longtime gripe.
January 22
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New digital currencies are subject to little or no regulation, the investor protection watchdog cautions.
January 5
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Advisors should expect more regulatory requirements, enforcement actions and uncertainty in 2018, experts say.
December 11
