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The chair warned that fund companies using predictive analytics need to ensure the technology places their clients' interests first.
March 3
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FINRA arbitrators approved the expungement of client complaints that had already led to significant payments as the SEC considers a new rule reforming the process.
February 24
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The SEC, FINRA and NASAA issued an investor alert warning of fraud, fees and tax complications for self-driven retirement accounts that invest in alternative assets.
February 7
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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
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Research firm Cerulli reports that investing in private equity, real estate and other alternatives was up 23% in 2022.
January 20
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The former broker's last-ditch effort to convince a former friend and victim that his money was secretly invested and doing well only led to more charges.
January 19
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The new year brings new regulations and the end of grace periods from federal and self regulators.
January 13
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The fintech startup is mining SEC, FINRA and other data to make information on financial advisors easier for consumers to digest.
January 12
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FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.
January 11
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In a decision that left out the details of alleged discrimination and tensions within the firm, a FINRA arbitration panel granted the broker's expungement request.
January 4
