It applies to all open cases

Getting Paid

Ash Waechter/iStock/Thinkstock Companies that take responsibility for their poor financial performance tend to see a later boost in their stock price, while those that blame third parties, like labor unions, the government or the economy, expe...

Mandated disclosures are tricky to get right; if written in a way consumers can easily understand, there is a good chance they aren't disclosing enough. Too much detail and legal jargon, and consumers' eyes pass right over them. ...

Despite all of the hand wringing among advisors and regulators about the need to attract young talent, few advisory firms seem to be the kind of place where millennials want to work...

The FINRA Roach Motel:  Dismissing a FINRA Arbitration ...

The Financial Industry Regulatory Authority released on Wednesday new regulations aimed at enhancing investors' understanding of the impact of their broker changing firms and what that would mean to them...

Regulators are increasingly requesting a wider range of communication records from firms when conducting a regulatory exam. And while email is still by far the most commonly requested communication records, that is quickly changing, says Smarsh C...

Rep. French Hill (R-Ark.), a member of the House Financial Services Committee and a former broker, threw his support behind Financial Industry Regulatory Authority as the examiner of registered investment advisors, calling the self-regulator the ...

Needs salt. | Copyright Harry Kerr, Getty Images It can be reassuring when an investment manager has skin in the game—putting their own money into the fund they’re managing. Likewise, it is disconcerting to discover they pulled their money...