Sen. Ed Markey, who wrote the legislation that led to the creation of BrokerCheck, is calling for stricter regulator enforcement for <a href="http://www.investmentnews.com/article/20131024/FREE/131029933">brokers who violate securities rules</a> and continue to practice.
Brokers who are the subject of investor arbitration cases can clear their record of any wrongdoing too easily, lawyers say. Research finds that records were erased in 97% of cases settled from May '09 through Dec. '11.
Market performance, money flows push Wells Fargo Advisors' assets to record.
Scorsese film celebrates frat-party side of investment-advice world.
Individuals are taking a cue from corporations in moving assets to other states, but will regulators clamp down?
Plus: Asian markets are charging, hitting a year-end financial high note, how to use bond ETFs, Amex gets stung, and apps for getting fit. Check out Breakfast with Benjamin.
Mary Beth Franklin passed the Certified Financial Planner Board of Standards Inc.'s certification exam. But unfortunately, you can't call her a certified financial planner — and probably never will.
San Diego adviser allegedly steered winning trades to favored clients and lied about how money was spent.
Industry bigs expect the SEC to release concept for single standard of care this summer; no such timeline for self-regulator
Two of the largest variable annuity sellers sharply pulled back on additional premiums into existing contracts during a busy third quarter for the sellers.
A review board denies the 82-year-old founder and president of Wedbush Securities' appeal and issues harsher sanctions, increasing the scope of the original suspension and doubling the fine for reporting violations.
Says it would more quickly identify potential red flags signaling misconduct
SEC, other regulators, pass rule after three years of back and forth with Wall Street.
Plus: Elizabeth Warren vs. Wall Street, emerging markets see downside of credit boom, and the realities of alternative energy investments. All in Breakfast with Benjamin.
Adviser to the stars Bambi Holzer is facing the wrath of regulators for allegedly lying to one of her former firms when she sold preferred shares of Provident Royalties in 2008. Her BrokerCheck report is one for the ages.
Whether it's the time you spend or the content you post, you need to think long and hard before jumping in.
Investors who surrender or let policies lapse risk big tax bills for so-called phantom income.
Crucial blocking and tackling for financial advisers
Companies usually keep a low profile when the Securities and Exchange Commission investigates them. Robert DePalo decided to sue.
