The third-annual report from the regulatory agency cited common violations at FINRA firms, as well as typical tendencies that could potentially escalate into violations.
A new report by the arbitration attorneys’ group points to continued abuses of FINRA’s expungement process; the group calls for an independent investigation into the latest issues.
Ross Levin systematized the financial planning process by developing his own Wealth Management Index that prompts clients with specific questions and converts the results into a score they can use to track their progress over time.
