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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.
Getting a fair shake in arbitration
A well-educated arbitrator will be better able to see phony arguments from both sides in a dispute.
PIABA claims arbitrator bias – Finra lashes back
Plaintiff's attorneys say lack of diversity among panelists means disadvantage for investors.
BrokerCheck needs a marketing effort
It's time for Finra to get serious about making sure investors know BrokerCheck exists.
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
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
Morgan Stanley wins back $3M bonus from insider trader
A Finra arbitration panel ordered Vladimir Eydelman to repay his former firm after he was fired in March amid charges of insider trading.
B-D's fate uncertain after $4M arbitration award
Resource Horizons Group may not be able to meet net capital requirements; Kovack Securities opens its doors to advisers.
WFG Investments facing $650,000 Finra 'global fine'
Comes on heels of another $200,000 penalty last year for missing a stock-fraud scheme
Beatty takes reins of NASAA, focuses on protecting senior investors
Other issues state regulators are tackling include expungement, broker fee disclosures and REIT concentration in portfolios.
Executives of defunct IBD hit with $1.05 million arbitration award
Investors sued individuals after the firm, Allied Beacon Partners, ran out of capital and failed to pay earlier arb award.
Advisers should be supporting transparency
The SEC's potential rules to increase disclosure of mutual fund holdings should be applauded.
Should you follow Bill?
Friday's Breakfast with Benjamin features: Bill Gross is selling bonds. Should you? Plus: Finra might go inside to replace Fienberg; the markets' muted reaction to Obama; pump and dump; more money flows to hedge funds; and Cantor's way of commemorating 9/11.
SEC takes a hard stance on soft dollar abuses
The SEC recently announced sanctions against a broker-dealer in New York for ignoring red flags and making improper soft dollar payments to a San Diego-based registered investment adviser. The broker-dealer paid more than $400,000 to the RIA, even though the advisory firm failed to make full ...
SEC assessment of mutual fund risk could lead to more disclosure
Questions abound in early stages of potential rulemaking to boost oversight.