Results for "regulation"

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Couple in Morgan Stanley advisory account wins $519,000 arb case over unsuitable investments

May 20, 2019

Finra arbitrators awarded $519,089 to a couple who claimed a Morgan Stanley broker recommended inappropriate complex investments. The three-person, all-public Financial Industry Regulatory Authority Inc. panel found in favor of Stephen R. Balok...

Discussing volatility with clients — with a twist

May 20, 2019

Having filled out several risk profiles over the years, I've found they share one characteristic in common: They really don't measure how I feel about losing money on my investments. I understand why advisers must quantify an investor's appetite...

Finra makes its list to target hundreds of rogue individuals

May 17, 2019

As the Financial Industry Regulatory Authority Inc. undertakes closer supervision of rogue firms, it has identified hundreds of individual registered reps and financial advisers who pose the biggest risk for clients of the securities industry....

Brokerages sound off on Regulation Best Interest

May 17, 2019

An executive at a small brokerage firm expressed concern Friday that the Securities and Exchange Commission's pending advice-reform rule is too vague and could lead to an exclusive focus on the price of investments. The centerpiece of the package...

Finra rogue broker rule would affect 61 firms

May 15, 2019

As part of its crackdown on rogue brokers, the Financial Industry Regulatory Authority Inc. has identified 61 firms that would face restrictions under a newly proposed Finra rule. Finra currently has a little more than 3,700 broker-dealers under...

Finra proposal to restrict recidivist behavior a good start — but more needs to be done

May 14, 2019

Recently, the Financial Industry Regulatory Authority Inc. published a proposal to impose restrictions on firms with a significant history of misconduct. Finra wants to label firms with high numbers of disclosures and with a history of employing...

Finra wants to improve how it digitally interacts with member firms

May 14, 2019

The Financial Industry Regulatory Authority Inc. is taking on a multiyear project to improve how member firms digitally interact with the regulator. Based on feedback from more than 50 firms about how the industry engages with Finra for compliance...

New bill links 401(k) matches to student loan payments

May 14, 2019

A bill that includes a provision to make it easier for companies to contribute to the retirement accounts of employees who are paying down student debt was reintroduced in the Senate this week. Among other changes, such as stepping up the age...

Reg BI looks strong, if you squint just right

May 13, 2019

The Wall Street Journal's Jason Zweig recently complained about a study from Fidelity Investments that was interpreted to show that "Most index funds are 'below-average investments'" and that except for large U.S. stocks, in nearly every other...

How much is enough compliance? SEC grumbles about firms' efforts to cover risks

May 13, 2019

The Securities and Exchange Commission is warning investment advisory firms to devote adequate resources to compliance, which has spurred a debate about whether attitude or money is more important. In a recent speech, Pete Driscoll, director...

May 13, 2019

BY Mark Schoeff Jr. The Securities and Exchange Commission is warning investment advisory firms to devote adequate resources to compliance, which has spurred a debate about whether attitude or money is more important. In a recent speech, Pete...

Finra plan to address unpaid arbitration award problem deserves fair hearing

May 11, 2019

The Finanical Industry Regulatory Authority Inc. finally may have come up with a fair way to ensure that investors who win arbitration awards actually receive them. Under a new rule proposal, Finra would require firms with a track record of...

SEC, Finra warn investors not to base stock decisions on social sentiment

May 9, 2019

The Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc. are warning investors about using social media data to make investment decisions. In recent years, companies like TickerTags, Social Market Analytics...

Money manager who stole $500 million serves a quarter of his 20-year prison term

May 9, 2019

Former WG Trading Co. money manager Stephen Walsh was ordered released from a federal prison after serving a little more than a quarter of his 20-year prison term for his part in swindling investors out of more than $500 million. In 2009, Mr....

Finra arbitrators award Stanford victims $1.4 million, rule against Pershing

May 9, 2019

Finra arbitrators ruled that Pershing must pay $1.4 million to several victims of R. Allen Stanford's Ponzi scheme. The three-person, all-public Financial Industry Regulatory Authority Inc. panel found in favor of six claimants who alleged Pershing...

SEC commissioner Hester Peirce says Reg BI is stronger than fiduciary duty

May 8, 2019

Members of the Securities and Exchange Commission have defended their agency's forthcoming final advice-reform rule in exchanges over the last couple days. SEC commissioner Hester Peirce said the proposal to raise advice requirements for brokers...

Morgan Stanley advisers win huge $6.4 million deferred comp claim against Credit Suisse

May 8, 2019

Two star brokers at Morgan Stanley won a stunning $6.4 million arbitration award against their old firm, Credit Suisse Securities, claiming they did not receive deferred compensation they were entitled to after the firm closed down its U.S....

How we invest in farmland: An introduction to Nuveen's global agricultural sustainability approach

May 8, 2019

Why sustainability matters The world's population continues to expand — reaching 6 billion at the dawn of the 21st Century and nearly 10 billion projected by 2050. Exploding population and rising protein consumption are driving the need for...

Retirement investors win $1.8 million arbitration against Raymond James for penny-stock sales

May 7, 2019

Retirement investors won a $1.8 million Finra arbitration award against Raymond James in a case involving penny stock investments in energy companies. A three-person, all-public Financial Industry Regulatory Authority Inc. arbitration panel...

Galvin charges Janney with churning high-fee mutual funds

May 7, 2019

Massachusetts Secretary of the Commonwealth William Galvin charged brokerage Janney Montgomery Scott with churning high-fee mutual funds, a signal of continued regulatory interest in share-class violations. In a complaint filed Tuesday, Mr....

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