According to the settlement letter, the brokerage regulator argued Raymond James didn’t properly check that personnel were filling out forms to ensure that written customer complaints were submitted to FINRA quarterly.

Fines levied by the Financial Industry Regulatory Authority have dwindled to half their recent levels.

The firm relied on “third-party automated surveillances” to check for potentially manipulative wash and prearranged trading which had overly narrow parameters, according to FINRA.

Gordon “Gordy” Abel from Dynasty Financial Partners offers perspectives on why marketing matters, how to create and leverage a brand, the key aspects of an effective value proposition and more.

Silvant Capital Management's CIO and Managing Partner Michael Sansoterra opens up about why he believes growth investing is a condition, not a category.

The Investment Adviser Association argues the rule was “adopted largely as proposed” and is “too prescriptive.”

Municipal borrowers have issued nearly $320 billion of long-term debt so far this year, a 37% increase from the same period a year ago.

Wells Fargo is also named in a separate lawsuit filed this week. In it, a former client services associate alleges she was subject to continued mistreatment from a superior without action from the bank.

After more than 20 years in the wealthtech business, Orion's president of advisor technology says he's taking a break from the industry. He’ll stay on as an advisor to Orion’s CEO for the rest of this year.

Open, honest and candid discussion about DOL Jobs growth numbers, phased retirement and more.