by
Tracey Longo
The Republican-led actions are largely symbolic given the near certainty of vetoes by President Biden.
by FA Staff
Independent advisors have become more disgruntled than advisors in the employee channel, the firm said.
by
Tracey Longo
The Heritage Foundation's policy initiative says the regulator should be folded into the SEC.
by
Jacqueline Sergeant
Ameriprise said a father-son team that left it for LPL solicited clients and took information.
by
Eric Rasmussen
The regulator said Merrill Lynch caused customers to pay avoidable fees on brokerage account recommendations.
by FA Staff
Scottsdale advisor Jacob C. Glick was banned for 10 years after causing clients to lose $2 million, the agency said.
by
Tracey Longo
The regulator will now have to be more selective in its enforcement actions, attorney Brian Hamburger said.
by
Austin Weinstein
Critics contend the regulator has ratcheted down its pursuit of securities industry wrongdoers.
by
Jacqueline Sergeant
A Finra panel rejected Candido Viyella's claims he was wrongfully terminated and defamed.
by FA Staff
Gulf Coast Wealth Management of New Orleans was with LPL for more than 20 years, the broker-dealer said.
by
Tracey Longo
In an amicus brief, the board said the rule is needed to eliminate conflicts and fill regulatory gaps.
by FA Staff
First Summit Capital Management is led by Thomas Cooney and includes former baseball player Mark Freed.
by
Jennifer Lea Reed
Industry veterans Jim Dickson and Mark Penske raised money from family offices for the launch.
by
Tracey Longo
The SEC is scrutinizing hybrid firms that put their clients into more expensive brokerage accounts, they said.
by
Jennifer Lea Reed
The class-action lawsuit claims the low rates represent a violation of fiduciary duties and Reg BI.
by
Karen DeMasters
“The unusual is now usual as advisors provide more holistic planning,” Schechter Investment Advisors' CEO says.
by
Jennifer Lea Reed
The investors allege in a Finra claim that two of the firm's former brokers put them in unsuitable investments.
by
Jacqueline Sergeant
The bank used the advisor's name on its website long after he left the company, Finra said.
by
Tracey Longo
The rule provides advisors, brokers and agents three routes for avoiding fiduciary mandates, attorney Fred Reish said.
by
Jennifer Lea Reed
The advisor had already been barred by Finra for allegedly helping her supervisor hide the scheme from LPL.
