Finra said the firm failed to deliver documents after ETFs were purchased by clients.
Independent advisers get a dose of inspiration as Tony Robbins continues to champion their cause
Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past
With three retail firms in the past couple of weeks disclosing disappointing earnings related to compliance and regulatory issues, the question is: Where does this rash of regulatory actions come from?
Agency alleged that he misrepresented the value of a private-equity fund of funds.
In a strange combo, the 'Shark Tank' entrepreneur joined former chairman Christopher Cox in criticizing the agency for the way it handles enforcement actions.
Additional payroll taxes would bolster trust funds initially
Bernard Madoff's inner circle, who benefited from the perks of his $17.5 billion Ponzi scheme, now face jail time.
Breakfast with Benjamin is back. Today: SAC Capital is now a family office; gold and silver start to shine; navigating bonds with ETFs; another debt-ceiling fight; cheaper gas in 2014; and the biggest product flops of 2013.
Finra said the firm overbilled more than 20,000 fee-based accounts in its RIA unit by $2.4 million over seven years and ordered it to pay a $350,000 fine.
Department's plan is to 'reduce harmful conflicts of interest' by amending regulatory definition of fiduciary.
Broker-dealer regulator promises to modify rules after survey identifies 'pain points'.
Major Wall Street interest group cites cost, regulatory creep and impact on civil liberties in attack on Finra's data-gathering proposal.
On Thursday's <i>Breakfast with Benjamin</i>, adviser, Teddy bear collector and former New York Islanders co-owner gets jail time for major financial fraud. Plus: Congress is finally disapproving of Congress, the real 'slack' in the labor market, and realizing even more things are taxable than you thought.
A proposal backed by major active mutual fund managers gets rebooted.
The sector is up 24% this year, leading all S&P subcategories.
California man acting as a financial adviser was sentenced to two years in prison for filing false tax returns.
House vote late Wednesday provides $42 million in temporary relieve to taxpayers but nothing for 2015.
Sometimes the best planning approach is to do nothing in an uncertain environment.
House has the upper hand on the Senate over tax reform
