Articles tagged "FINRA"
Headline
Publish date
Why legal experts expect radio personality and registered rep Dawn Bennett to be barred from the industry for what started as an exaggeration of AUM
In the great tradition of legal quagmires, the cover-up seems as much the issue as the original broadcasted misdeed
September 18, 2015 at 7:55 PM
How the alternative investments category got bastardized and why that's a shame
A decade on, the investment industry is fast destroying a promising asset class
January 27, 2015 at 6:19 PM
After Merrill Lynch allegedly 'crippled' their careers, two advisors are prepping a big counterstroke, lawyer says
FINRA may decide whether the wirehouse pulled the trigger too whimsically on its PBIG stars
October 14, 2014 at 5:39 PM
Can advisors keep their dirty compliance laundry in the closet thanks to lack of NASAA, SEC and FINRA coordination?
Mostly not but Jack Waymire and Brian Hamburger flesh out the issue with the right questions and answers
September 19, 2014 at 5:39 PM
After Morgan Stanley 'raided' Schwab branch in San Francisco, Schwab fought in FINRA 'court' and lost, but perhaps won on the larger level
The San Francisco-based $2.4-trillion broker still isn't swallowing the loss and sent a clear message that it will battle tirelessly
September 4, 2014 at 4:40 PM
Spencer Bachus's amazing turnabout from RIA villain to white knight and the miserable state of Dodd Frank's advancement of fiduciary care
Once presumed to be in FINRA's back pocket, the Alabama congressman co-sponsors H.R. 1627 -- a huge boon to SEC oversight of RIAs
July 21, 2014 at 3:40 AM
$5 billion and $12 billion RIA principals tell worthy anecdotes (hint, Madoff), reveal secrets, to Barron's moderator at IMCA
Paul Tramontano and Ric Edelman topped a bill that offered a barn-burning tax talk from Kitces
May 9, 2014 at 4:19 AM
How to ace the grueling Series 65 exam and keep your wits and your nerves intact in the process
All-nighters are not recommended for the 130-page, FINRA-administered test but up to 45 hours of study is
May 7, 2014 at 5:47 PM
How Morgan Stanley and a lesbian super-producer came to grief in South Carolina and why she alleges bias
The wirehouse's response: Libby Cherrington is using the gay issue to distract from a $6.7 million loan that has gone unpaid by the AIG rep
April 15, 2014 at 6:24 AM
The 10 biggest threats to the RIA business heading into 2014
The fiduciary planning model is taking shots from every angle but the jugular looks inaccessible
December 27, 2013 at 11:02 PM
How the SEC has pulled a vanishing act, looking the other way while brokers with flimsy pretenses hold themselves out as trusted advisors
The federal keeper of the standards has stopped battling brokers from calling themselves 'wealth managers', advertising 'trust' or looking the other way on principal trades
December 17, 2013 at 8:05 PM
After starring in New Yorker article, Mary Jo White holds SIFMA event spellbound and 'no-admit, no-deny' is still in play
The muscular prosecutor of security fraud and terrorism cases delivered roses -- and maybe some thorns
November 13, 2013 at 5:03 PM
What the 8 pillars of a FINRA-replacing entity for RIA oversight look like and how personal accountability is key
First and foremost, the PRO would have as it members individuals (not firms) who are qualified to become members of the profession
July 28, 2013 at 4:11 PM
FINRA's scandalous litany of failures and its efforts to redefine the true fiduciary standard out of existence
Our one-man think tank continues his scathing indictment of the SRO's disingenuous and downright fraudulent practices
July 17, 2013 at 3:10 AM
The story of FINRA's implacable drift from its founding ideals to a pallid 'no-lying baseline'
In Part 2 of a four-part series, our one-man think tank narrates the back story of today's fiduciary standoff, getting to the root of the 'insidious conflicts' that made the terms 'broker' and 'trustee' oxymoronic
