FINRA cites Reg BI for expelling brokerage | Financial Planning
For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.
Source: financial-planning.com
Rob Herskovits News Today : Breaking News, Live Updates & Top Stories | Vimarsana
Stay updated with breaking news from Rob Herskovits. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.
Top News In Rob Herskovits Today - Breaking & Trending Today
Stifel Nicolaus 'raiding' case probes boundaries of Broker Protocol pact
In setting up a breakaway firm, a group of advisors tried not to step over lines when recruiting colleagues and clients. But a lawsuit argues they still went too far.
Source: financial-planning.com
FINRA: Broker conducted 'coordinated raid' on Wells Fargo branch in going solo
An arbitration panel has found Raymond James and its independent broker Kent Jackson Rhoades liable for nearly $20 million in an unfair competition case.
Source: financial-planning.com
Misleading disclosures linger as advisors try to rebuild reputations with expungement
Even if advisors get a disclosures removed from their records, the damage done online can be difficult to manage.
Source: financial-planning.com