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  1. Articles

    Ketchum: What this industry is missing when it comes to CARDS

    Finra chief Richard Ketchum says industry groups like SIFMA are overlooking the investor protection benefit of Finra's controversial data-collection proposal.

  2. Articles

    Wells Fargo settles bonus squabble for $7.4M

    Wirehouse settles class action claim the firm wrongly withheld incentive compensation from two former advisers who changed firms.

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    Client protection ruse needs to stop

    Advisers should demand that industry organizations speaking for them don't let greed overshadow their true mission to help people live sound financial lives.

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    Finra expected to adopt CARDS despite vocal industry resistance

    Opponents like SIFMA and FSI remain wary of the potential costs, customer data security, but Finra asserts that CARDS will help investors.

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    Brokers can complain to Finra about exams – anonymously

    Brokers like to complain about Finra exams. Now they have a chance to tell the organization exactly what they think — anonymously.

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    Ketchum on hot seat over controversial CARDS proposal

    Ketchum dodges criticism over the regulator's data collection program, says 'it's still very early in the game.' (Also: Incoming SIFMA chair worries about CARDS' cost, security.)

  5. Articles

    SEC Chair Mary Jo White close to revealing her position on fiduciary duty

    Mary Jo White is poised to reveal what she believes is the best way for the SEC to address fiduciary duty, with the SEC planning to make a determination this year as to whether to propose a rule or take another approach.

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    Finra names new head of arbitration

    A 19-year veteran of the organization will replace Linda Fienberg on Dec. 1.

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    Two big developments in retirement planning grab advisers' attention

    Social Security and annuities make news, LPL's regulatory headaches continue, and the rest of this week's must-read stories for advisers.

  8. Articles

    Wunderlich and fired LPL broker part ways

    Former star LPL broker and Houston branch manager James "Jeb" Bashaw is no longer joining Wunderlich Securities, and is also fighting back against LPL's allegations.

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    Getting a fair shake in arbitration

    A well-educated arbitrator will be better able to see phony arguments from both sides in a dispute.

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    PIABA claims arbitrator bias – Finra lashes back

    Plaintiff's attorneys say lack of diversity among panelists means disadvantage for investors.

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    BrokerCheck needs a marketing effort

    It's time for Finra to get serious about making sure investors know BrokerCheck exists.

  12. Articles

    Finra's proposed nontraded REIT rule changes could have gone further

    Checks on sponsor companies and protection for investors and advisers is welcome, but statement reporting adds more confusion than clarity

  13. Articles

    SEC signs off on Finra arbitration fee increases

    Agency approves Finra's proposal to boost fees on larger claims in order to better pay the roughly 6,300 arbitrators