Month: July 2019

What is FINRA? Part 1 – FINRA’s Mission

By Jonah A. Toleno — posted in Securities Regulation & Compliance on Monday, July 29, 2019.

FINRA (the Financial Industry Regulatory Authority), formerly known as the National Association of Securities Dealers (NASD), is a self-regulated organization…

FIRMS CONTINUE AGGRESSIVE TACTICS AGAINST DEPARTING ADVISORS BUT FACE OBSTACLES IN CALIFORNIA COURTS

By Katherine S. Bowles — posted in Financial Advisor & Broker Disputes on Monday, July 1, 2019.

Broker Transitions Financial Advisors

Since Morgan Stanley and others started withdrawing from the Protocol for Broker Recruiting in the fall of 2017, there has…