Judge lets Finra proceed with enforcement action against broker
A federal judge last week denied a broker's effort to stop Finra from disciplining him.
Source: investmentnews.com
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Financial Professionals Coalition seeks to help 'disenfranchised' advisors
Former Finra board member Stephen Kohn says the group will help advisors with questions about careers, disciplinary records and much else.
Source: investmentnews.com
Cetera brokers must get approval for M&A deals
The independent firm told financial advisors that selling their own practices without a greenlight from the corporate office could draw FINRA scrutiny.
Source: financial-planning.com