Client Relationship Summary News Today

With the close of FINRA's fiscal year comes the opportunity for broker-dealer firms to consider where regulators have focused their enforcement efforts and also what can be expected in the coming year.

With the close of FINRA’s fiscal year comes the opportunity for broker-dealer firms to consider where regulators have focused their enforcement efforts and also what can be expected in...

Investment claims that sound too good to be true usually are.

Arcana Network Announces Reg-D $XAR Token Offering on Republic Platform ...

Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement...

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,...

Finra charged Monmouth Capital Management with Reg BI violations including churning customer accounts and misleading statements on Form CRS.

/PRNewswire/ -- Clarendon Private, LLC a Boston-based investment and wealth management company designed to serve individuals, families, endowments, and...

/PRNewswire/ -- Clarendon Private, LLC a Boston-based investment and wealth management company designed to serve individuals, families, endowments, and...

The US Securities and Exchange Commission (SEC) has adopted a new standard called Regulation Best Interest (Reg BI) that shifts the focus on protecting customers first and foremost....