Rep Violated Reg BI With Excessive Trading in Older Clients' Accounts: FINRA

Published on January 16, 2025

The rep was suspended and ordered to pay more than $27,000 in restitution.

Continue reading on website
Other news

New Year, New Advisors

January 16, 2025
What I learned from training eight new advisors simultaneously.

As Wire Fraud Claims Rise, Advisors May Find They Aren't Properly Insured

January 16, 2025
An advisory firm needs to protect itself to ensure that it isn't on the hook for these liabilities.      Related Stories3 Ways to Thrive as a Mid-Career AdvisorMorningstar Rolls Out Advisor Software SuiteThe Social Security Fairness Act Is Law. Here's What Advisors Should Do Now.