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Oct 27, 2015

Bill Aimed at Blocking DOL Fiduciary Rule Passes House

The U.S. House of Representatives passed legislation aimed at delaying the Department of Labor’s fiduciary rulemaking on Tuesday night....More
Oct 21, 2015

Brokers' Records Wiped Clean Too Often

Too many advisors are still getting their records wiped clean, according to a new report from the Public Investors Arbitration Bar Association....More
Oct 15, 2015

Expect Largely Unchanged DOL Rule in Early 2016

Advisors should expect the Labor Department to issue its finalized fiduciary rule in the first quarter of 2016 without too many substantial changes....More
Oct 13, 2015

Regulators Target Use of Seminars, Designations

State and federal securities regulators are targeting advisors who market “free lunch” seminars and use misleading senior investor designations,....More
Oct 01, 2015

Committee Passes Bill Aimed at Blocking DOL Fiduciary Rule

The House Financial Services Committee on Wednesday passed legislation aimed at delaying the Department of Labor’s fiduciary rulemaking....More
Sep 14, 2015

FINRA Seeks to Narrow Reporting Gap

FINRA wants to reduce the wait time to publish advisor terminations or investigations to its BrokerCheck system....More
Sep 02, 2015

Buyer Beware: WhatsApp Used in Recent Scam

Regulator warns stock recommendations sent through the popular WhatsApp messaging app are likely part of a recent pump-and-dump scam....More
Aug 04, 2015

FSI Seeks More Clarity on FINRA BrokerCheck Rule

Broker/dealer industry group the Financial Services Institute says the Financial Industry Regulatory Authority’s initiative to have firms link to....More
Jul 08, 2015

FSI Taking the Fiduciary Fight to Consumers

With advisors actively mobilized on the Department of Labor’s fiduciary proposal, the Financial Services Institute is now turning its sights to....More
Jul 02, 2015

Barred Broker Facing Fraud Charges for Alleged Ponzi Scheme1

A broker previously barred from the industry is now facing additional federal civil and criminal fraud charges for an alleged $15.5 million scheme....More
Jun 16, 2015

Fiduciary Fight Heats Up on Hill

Opposition to the White House-backed to the proposed definition of a fiduciary financial advisors continues to grow on Capitol Hill....More
Jun 15, 2015

Cost of Litigation for Firms Totals $178B Since Crisis

The cost of complying with regulations is skyrocketing. Banks and financial institutions in the U.S. and Europe have paid out $178 billion in....More
Jun 04, 2015

The 'Game Has Changed': Candid Comments on the Reality of DOL Fiduciary Fight

The financial services industry needs to accept the reality of the Department of Labor's fiduciary proposal and move onto figuring out how to....More
Jun 04, 2015

SEC Warns Investors About Advisors Boasting Fake Credentials

The SEC released a new warning to investors after two new cases of advisors faking credentials to gain investors' trust....More
Jun 03, 2015

SIFMA: DOL Fiduciary Proposal “Unworkable”

SIFMA reiterated its opposition to the Department of Labor’s fiduciary proposal on Wednesday, calling the proposed restrictions “unworkable.”....More
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Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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