Practice Management

One of the greatest drivers of client experience is employee experience.

FINRA claims that James Alan Schumaker allowed his father to continue working with clients, even after he was barred from the industry.

It's important to make sure that you’re building a marketing strategy that rides independently above whatever vendor you use.

“I do not have clients and I do not provide personalized investment advice for fees or commissions,” said Keith Gill, aka Roaring Kitty. “I did not belong to any groups trying to create movements in the stock price. I have never had a financial...

Survey findings show investments in social media to surpass other marketing expenditures in 2021.

New enforcement head Tom Sporkin and his team now oversee the detection, investigation and prosecution of alleged violations, while another team will handle the adjudication, a move that mirrors the workflow at the SEC and FINRA.