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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.
Less than a year after Foreside acquired NCS Regulatory Compliance, the firm is buying another compliance consulting firm, Compliance Advisory Services.
