DOL moves to undo stricter independence test for brokers
Intense Life Desires The definition of an “independent contractor” — long a political ping-pong ball — could bounce...
brokers
FINRA seeks to lessen brokers’ oversight of RIAs
Thanks to a new FINRA rule, brokerages should soon be relieved of their current duty...
Judge nixes ex-Well Fargo broker’s tax write-off claim
When Francisco Gil was an advisor at Wells Fargo, he twice used a tax form...
Should financial advisors be brokers, RIAs or both?
This is the seventh installment in a Financial Planning series by Chief Correspondent Tobias Salinger...
UBS fined for broker’s firing
UBS is on the hook for $1 million after a FINRA arbitration panel found it...