Month: February 2019

Wells Fargo, Ameriprise and Other Independent Firms Up Recruiting Ante

By George C. Miller — posted in Financial Advisor & Broker Disputes, Financial Industry Developments on Tuesday, February 12, 2019.

Broker Transitions

Large up-front, forgivable promissory notes were once the gold standard in financial advisor recruiting. From the early 2000’s through 2017,…

FINRA Highlights 2019 Examination Priorities

By Erwin J. Shustak — posted in Securities Regulation & Compliance on Wednesday, February 6, 2019.

FINRA Regulatory Examinations

In its 2019 Risk Monitoring and Examination Priorities Letter, The Financial Industry Regulatory Authority, FINRA, announced its 2019 priorities examination…