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NEWS REGULATION AND LEGISLATION OCT 02, 2019
SEC orders hybrid to return nearly $1.5 million over share-class violations

Clients of Founders Financial paid 12b-1 fees when eligible for lower-cost shares

NEWS INDUSTRY NEWS OCT 01, 2019
Hybrid broker managing $130 million switches to LPL from Amerprise

Joshua Lambert took over his father's Ohio-based business after 15 years.

NEWS INDUSTRY NEWS SEP 27, 2019
Finra censures Newbridge Securities and fines firm $225,000

The firm consents to having inadequately supervised sales of complex products.

NEWS INDUSTRY NEWS SEP 26, 2019
Hybrid managing $150 million switches to LPL from Kestra

Chesapeake Investment Planning is based on an island in the bay.

NEWS INDUSTRY NEWS SEP 26, 2019
Finra bars former Wells Fargo broker for insider trading

Joseph Pratt of Conshohocken, Pa., used private information from clinical trials.

NEWS RIAS SEP 25, 2019
Robertson Stephens acquires Blue Blaze Financial

New Jersey-based firm brings $200 million in assets.

NEWS REGULATION AND LEGISLATION SEP 25, 2019
Former California RIA barred, slapped for $1.2 million by SEC

Strong Investment Management had been charged with fraud in a "cherry-picking" scheme.

NEWS INDUSTRY NEWS SEP 24, 2019
In New York deal, six insurers will pay $1.8 million over annuity sales practices

Faulty comparisons led consumers to swap annuities to their disadvantage, the state charged.

NEWS INDUSTRY NEWS SEP 24, 2019
Massachusetts fines RIA $225,000 over conflicted advice

Principals of Wellesley firm recommended buying stock of company in which they had an interest.

Efforts to block Reg BI likely to lead to delay, confusion
NEWS RIAS SEP 21, 2019
Efforts to block Reg BI likely to lead to delay, confusion

Investors cannot wait for the lawsuits to work their way through the courts.