Author: European Compliance

     Key leaders in the U.S. Congress have confirmed their intentions to introduce technical correction legislation to address erroneous statutory language

     A married couple who say they lost $850,000 at the hands of a now-deceased advisor who allegedly ran a

     What You Need to Know FINRA alleged Mark Brewer submitted a form naming a family friend as the beneficiary

     You can bet that the SEC will be issuing more sweeps, Gurbir Grewal, director of the Securities and Exchange

     Two First Command Financial Services divisions sued LPL Financial, alleging it recruited three advisors from First Command’s Tampa, Florida office

      Cetera Financial Group’s holding company has appointed Mike Durbin, who most recently was head of Fidelity Institutional, to the

      The Financial Industry Regulatory Authority is planning more remote work rules as well as an update to its outside

          The Department of Labor on Monday dismissed its appeal of a ruling in favor of the American Securities Association against

      The Financial Industry Regulatory Authority has expelled broker-dealer SW Financial for “multiple violations” related to Regulation Best Interest. FINRA found that

       What You Need to Know While the program faces problems, fearful speculation can trigger undue panic and poor decisions.