Month: April 2018

FINRA Proposes New Anti-Churning Rule

By Erwin J. Shustak — posted in Securities Regulation & Compliance on Wednesday, April 25, 2018.

FINRA Securities Regulation

In an effort to locate and identify brokers who excessively trade their clients’ accounts to benefit themselves through excessive trading…

Rogue Brokers in the News; Fraudsters and Thieves of Client Funds

By Erwin J. Shustak — posted in Investor Claims & Financial Fraud on Tuesday, April 24, 2018.

Financial Advisors Investment Fraud

Two rogue brokers made the news this week. One, a former Ameriprise broker in Los Angles, was arrested by the…

SEC to Consider New Fiduciary Rule Proposal

By George C. Miller — posted in Investment Advisers & Private Funds, Securities Regulation & Compliance on Thursday, April 12, 2018.

Fiduciary Duty SEC

Signaling the next chapter in the slow moving “fiduciary rule” saga, the Securities and Exchange Commission will meet next week…