The lapses in record retention, fingerprinting and failing to oversee the drafting of consolidated reports led to 1.5 million costumer communications being deleted and a former rep running a Ponzi scheme, FINRA claimed.
Perspectives on where financial advisor marketing is headed.
The former TDAI executive spent the last days of 2020 studying for his CFP exam and taking a hard look at the regulatory landscape that faces financial planners in 2021.
The coronavirus pandemic has firms reassessing their approach.
The settlement is the first action coming from the regulatory agency's 2019 self-reporting initiative for failures to oversee 529 plan share class recommendations.
As we begin this new year, give yourself and your practice the gift of gratitude.
It’s key to recognize the inherent fragility of post-sale/merger projections.
