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Regulation & Compliance

businessman handcuffed

Regulation & Compliance

Feds: New York Advisor Stole $1.5 Million From Clients Feds: New York Advisor Stole $1.5 Million From Clients

Donald Laguardia, CEO of Manhattan-based L-R Managers, now bankrupt, allegedly took millions from investors, which was supposed to go into frontier markets investments.

byDiana Britton, Managing Editor

Dec 17, 2019

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1 Min Read

Ladenburg Thalmann

Regulation & Compliance

Ladenburg Shareholders File Suit to Block Advisor Group Acquisition Ladenburg Shareholders File Suit to Block Advisor Group Acquisition

byDiana Britton

Dec 16, 2019

1 Min Read

FINRA Completes Yearlong Consolidation of Exam Functions

Regulation & Compliance

FINRA Completes Yearlong Consolidation of Exam Functions FINRA Completes Yearlong Consolidation of Exam Functions

byDiana Britton

Dec 13, 2019

1 Min Read

Regulation & Compliance

Clayton: Accredited Investor Proposal "Next Step" In Revising Private Securities Access Clayton: Accredited Investor Proposal "Next Step" In Revising Private Securities Access

byPatrick Donachie

Dec 11, 2019

1 Min Read

Regulation & Compliance

Broker/Dealers Speak Out on Regulatory Vexation Broker/Dealers Speak Out on Regulatory Vexation

byJonathan Henschen

Dec 9, 2019

1 Min Read

Regulation & Compliance

Wells Sanctioned in Forgery, Fraud Case by FINRA Panel Wells Sanctioned in Forgery, Fraud Case by FINRA Panel

byErick Bergquist

Dec 6, 2019

1 Min Read

William Galvin

Regulation & Compliance

Galvin Signs Off on Massachusetts Fiduciary Rule

Galvin Signs Off on Massachusetts Fiduciary Rule

byPatrick Donachie, Senior Reporter

SEC

Regulation & Compliance

New SEC Proposals on Leveraged ETFs Don’t Go Far Enough, Officials Argue

New SEC Proposals on Leveraged ETFs Don’t Go Far Enough, Officials Argue

byDiana Britton, Managing Editor

Jay Clayton Ken Bentsen SIFMA

Regulation & Compliance

Clayton Touts Reg BI at SIFMA Conference

Clayton Touts Reg BI at SIFMA Conference

byPatrick Donachie, Senior Reporter

Michael Townsend vice president of the office of legislative and regulatory affairs for Charles Schwab

Regulation & Compliance

Schwab’s D.C. Expert: Don’t Overreact to Politics

Schwab’s D.C. Expert: Don’t Overreact to Politics

byPatrick Donachie, Senior Reporter

Merrill, Raymond James to Return $12 Million Gained From High-Fee 529 Plans

Regulation & Compliance

Merrill, Raymond James to Return $12 Million Gained From High-Fee 529 Plans

Merrill, Raymond James to Return $12 Million Gained From High-Fee 529 Plans

byDiana Britton, Managing Editor

Regulation & Compliance

FINRA Bars Star Morgan Stanley Brokers for Churning HSN Founder's Accounts

FINRA Bars Star Morgan Stanley Brokers for Churning HSN Founder's Accounts

byDiana Britton, Managing Editor

Regulation & Compliance

PIABA: It’s Still Too Easy for Brokers to Erase Bad Behavior

PIABA: It’s Still Too Easy for Brokers to Erase Bad Behavior

byDiana Britton, Managing Editor

Deal-656980402

Regulation & Compliance

Foreside Expands Compliance and Regulatory Market Share

Foreside Expands Compliance and Regulatory Market Share

byDiana Britton, Managing Editor

Regulation & Compliance

Advisor Viewpoints on Compliance and Regulation

Advisor Viewpoints on Compliance and Regulation

byWealthManagement.com Staff

Cetera financial

Regulation & Compliance

Cetera Entity Fined $185,000 for Not Disclosing Solicitation Fees

Cetera Entity Fined $185,000 for Not Disclosing Solicitation Fees

byDiana Britton, Managing Editor

XiXinXing/iStock/Thinkstock

Regulation & Compliance

Anatomy of a Fiduciary-Friendly Broker/Dealer

Anatomy of a Fiduciary-Friendly Broker/Dealer

byJonathan Henschen, President

Regulation & Compliance

Congressmen Criticize SEC on Reg BI, Stanford Recovery

Congressmen Criticize SEC on Reg BI, Stanford Recovery

byDiana Britton, Managing Editor

NAIC Releases Draft For Revisions to Annuities Transaction Regs

Regulation & Compliance

NAIC Releases Draft For Revisions to Annuities Transaction Regs

NAIC Releases Draft For Revisions to Annuities Transaction Regs

byPatrick Donachie, Senior Reporter

Regulation & Compliance

Latest GPB Lawsuits Show How Widespread the Problem Is

Latest GPB Lawsuits Show How Widespread the Problem Is

byDiana Britton, Managing Editor

Stifel, BMO Settle Charges Over Blue Sheet Violations

Regulation & Compliance

Stifel, BMO Settle Charges Over Blue Sheet Violations

Stifel, BMO Settle Charges Over Blue Sheet Violations

byDiana Britton, Managing Editor

J.P. Morgan to Pay $1.1 Million for Failing to Disclose Reps’ Misconduct

Regulation & Compliance

J.P. Morgan to Pay $1.1 Million for Failing to Disclose Reps’ Misconduct

J.P. Morgan to Pay $1.1 Million for Failing to Disclose Reps’ Misconduct

byDiana Britton, Managing Editor

DOL sign

Regulation & Compliance

Lawsuits Against the SEC Could Complicate DOL's Own Fiduciary Efforts

Lawsuits Against the SEC Could Complicate DOL's Own Fiduciary Efforts

byDiana Britton, Managing Editor

Regulation & Compliance

FINRA May Alter Its Rulebook in Light of Reg BI

FINRA May Alter Its Rulebook in Light of Reg BI

byDiana Britton, Managing Editor

New York Attorney General Letitia James

Regulation & Compliance

States Sue SEC Over Regulation Best Interest

States Sue SEC Over Regulation Best Interest

byDiana Britton, Managing Editor

handcuffs money

Regulation & Compliance

Former Morgan Stanley, Wells Fargo Advisor Pleads Guilty to Fleecing Clients

Former Morgan Stanley, Wells Fargo Advisor Pleads Guilty to Fleecing Clients

byDiana Britton, Managing Editor

William Galvin

Regulation & Compliance

Massachusetts Regulator Fines Wells Fargo After Agents Fail to Register

Massachusetts Regulator Fines Wells Fargo After Agents Fail to Register

byPatrick Donachie, Senior Reporter

SEC Seal

Regulation & Compliance

Legal Scholars Warn Reg BI Lowers the Standards for RIAs

Legal Scholars Warn Reg BI Lowers the Standards for RIAs

byDiana Britton, Managing Editor

Regulation & Compliance

New Consultancy Goes After Thorny IBD Branch Exams

New Consultancy Goes After Thorny IBD Branch Exams

byDiana Britton, Managing Editor

SEC Seal

Regulation & Compliance

Mass. Advisor Charged for Putting Clients Into Turkish Investment Scam

Mass. Advisor Charged for Putting Clients Into Turkish Investment Scam

byDiana Britton, Managing Editor

Regulation & Compliance

Ex-Woodbridge Group CEO Robert Shapiro Pleads Guilty in Fraud

Ex-Woodbridge Group CEO Robert Shapiro Pleads Guilty in Fraud

Regulation & Compliance

New York Implements New Standard for Annuities Sales

New York Implements New Standard for Annuities Sales

byPatrick Donachie, Senior Reporter

NASAA President Mike Pieciak

Regulation & Compliance

State Regulators Urge Heightened Supervision of Inverse, Leveraged ETFs

State Regulators Urge Heightened Supervision of Inverse, Leveraged ETFs

byDiana Britton, Managing Editor

SEC building

Regulation & Compliance

Planning for Form CRS

Planning for Form CRS

Regulation & Compliance

New Jersey's Fiduciary Faceoff

New Jersey's Fiduciary Faceoff

byDavid H. Lenok, Senior Editor