Case revolved around investments in Puerto Rican bonds made by the former MLB star
Legislation impacting financial advisers tries to get traction amid impeachment, election
The longtime Finra official served as acting enforcement chief since September
Regulator says flawed communications left plan participants in dark about investment costs
Experts: Recent Delaware settlement a sign of things to come
When the CFP Board provides guidance for its fiduciary standard, it uses case studies
Expert: Interest rate discussions with clients ‘can be problematic’
Regulator also highlights private placements, digital communications and bank sweeps as priorities
At 2012 congressional hearing, he helped derail bill on Finra oversight of advisers
Brokerage firms and broker and adviser associations ask lawmakers for ‘clarifying legislation’
