The Financial Services Institute (FSI) has filed a lawsuit against the Department of Labor (DOL) for revoking its final independent contractor rule.
If you find yourself in trouble with the regulators, call Eccleston Law, you won't regret it.
The Financial Services Institute (FSI) has filed a lawsuit against the Department of Labor (DOL) for revoking its final independent contractor rule.
LPL Financial is changing the way it pays commissions to its brokers when they sell routine investment products like mutual funds and variable annuities.
According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.
The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.
WealthFeed leverages proprietary AI technology to collect nine real-time financial data points, including business sales, capital raises, inheritances, and job changes.