New measures are being proposed to strengthen ethical guidelines among certified financial planners, according to a report in InvestmentNews. The Certified Financial Planner Board of Standards is calling for tougher sanctions for CFP professionals who do not report...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: August 2021
Recent Posts
- FINRA provides guidance for firms on new rule involving remote inspections
- FINRA penalizes SoFi $1.1 million for violations involving fraud prevention
- J.P. Morgan sues to force repayment of loans from former First Republic brokers
- FTC ban on noncompete agreements will include financial services employees
- First lawsuit filed against Department of Labor’s new fiduciary rule
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