by
Tracey Longo
Lawmakers and industry witnesses called proposal "a solution in search of a problem."
by
Tracey Longo
The agency's exams also brought to light issues with cryptocurrency.
by
Tracey Longo
FSI said the more expansive rule threatens independent advisors' contractor status.
by
Eric Rasmussen
The firm had said the two failed to get authorization for Allianz annuities, but a Finra panel disagreed.
by
Edward Hayes
The firm alleged a former broker violated non-solicitation agreements by recruiting 39 households worth $19 million.
by
Ben Mattlin
Most firms are unprepared for the potential mental deterioration of their key professionals.
by
Tracey Longo
The proposal is flawed and destined to be struck down by the courts, the company's general counsel argued.
by FA Staff
Matt Smith alleged his business associates undertook a “hostile takeover” as he battled bipolar disorder.
by
Eric Rasmussen
Two investors say they lost $2 million in cannabis investments, but PKS asserts it wasn't involved.
by
Tracey Longo
The rules would increase prohibitions on broker-dealers loaning money to and from clients.
by
Tracey Longo
The agency is merely repackaging its vacated 2016 fiduciary rule, the Financial Services Institute argued.
by
Tracey Longo
Supporters of the rule weighed in on the last day to offer public comments.
by
Jennifer Lea Reed
Billionaire investor Robert Rothman claims the bank improperly represented him and the team at the same time.
by
Jennifer Lea Reed
The broker-dealer failed to supervise reps on certain transactions and misled customers about fees, Finra said.
by FA Staff
Gary Chang of California stole more than $58,000 from four customers, the SEC said.
by
John Holland
The agency received 50% more tips in the fiscal year ending Sept. 30 than a year earlier.
by
Tracey Longo
The industry is arguing that the proposal conflicts with the underwriting process.
by FA Staff
Gregory Frank Estes was described in news reports as a prominent figure in the San Angelo community.
