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FINRA cites Reg BI for expelling brokerage | Financial Planning

For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry. ....

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Stifel Nicolaus 'raiding' case probes boundaries of Broker Protocol pact

In setting up a breakaway firm, a group of advisors tried not to step over lines when recruiting colleagues and clients. But a lawsuit argues they still went too far. ....

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FINRA: Broker conducted 'coordinated raid' on Wells Fargo branch in going solo

An arbitration panel has found Raymond James and its independent broker Kent Jackson Rhoades liable for nearly $20 million in an unfair competition case. ....

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Misleading disclosures linger as advisors try to rebuild reputations with expungement

Even if advisors get a disclosures removed from their records, the damage done online can be difficult to manage. ....

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