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.
by FA Staff
Rosaline Alam was fired by Pruco for being named in a client's will, the regulator said.
by
Tracey Longo
Republicans have argued the tracking program violates investors' civil liberties.
by
Hannah Levitt
The bank says more than a dozen employees got the boot for using software tools to simulate work activity.
by FA Staff
Michael Dempsey joined Raymond James & Associates, the firm's employee advisor channel.
by FA Staff
TradeZero America used social media influencers to make inaccurate claims about its services, Finra said.
by
Ben Mattlin
Advisors can benefit from keeping themselves up-to-date on the latest products.
by
Tracey Longo
The Federation of Americans for Consumer Choice asked a judge to rule on its request for an injunction by July 26.
by
Eric Rasmussen
A Finra arbitration panel agreed with the foundation's claim that a deceased rep put its money in unsuitable products.
by
Tracey Longo
Jared Dean Eakes of Jacksonville, Fla., pleaded not guilty to federal charges that he scammed his clients in 2019 and 2020.
by
Rachel Graf
Jilted firms are fighting back in court when stars are poached by rivals.
by
Edward Hayes
The insurer made the platform's offerings available to its B-D affiliate, MML Investors Services.
by
Christopher C. Williams
The three worked with John J. Woods, who was sent to prison for a scheme that lost investors $49 million.
by
Tracey Longo
The American Securities Association wants to know how $1.6 billion in fines were calculated.
by
Jacqueline Sergeant
Ameriprise Financial Services claims Mitchell and Wesley McCann took confidential information after a move to LPL.
by FA Staff
Keith Green and Jon Coon had managed a total of more than $500 million at their previous firms.
by
Tracey Longo
Business groups say these contracts keep prized employees from running off with trade secrets.
by FA Staff
The three advisors are based in Ocala, Fla.
by
Mark Hurley
Clients might want a different deal. So why does the AUM model remain so entrenched?
