It may be better to fight than to make a deal when the Financial Industry Regulatory Authority’s (FINRA) enforcement division comes calling, according to an annual study of disciplinary proceedings by the Washington D.C. office of the law firm Sutherland Asbill & Brennan.
The lobbying group of plaintiffs’ lawyers who represent customers in disputes with their brokers is calling on FINRA and the SEC to “immediately halt” the practice that allows arbitration panels to expunge customer complaints from a rep’s record.
WealthManagement.com hosted roundtable discussions with several successful advisors, as well as with consultants and industry experts who focus on helping advisors navigate the challenges of switching firms....More
Operating as an RIA offers greater flexibility in managing and growing your practice, but the downside is loss of a number of helpful tools, technologies, and services to make your business more successful and efficient....More
Many advisors dream of transitioning their business, but fear of the unknown can often leave those dreams on the backburner. With this webinar, you can improve your odds of making the right decisions by learning firsthand from the experience of others....More