FINRA is proposing significant changes to the expungement process for customer dispute information on a financial advisor's CRD record. FAs should review the Regulatory Notice and consider submitting comments during the comment period.
Some former Fidelity representatives/employees are now receiving inquiry letters from FINRA concerning the firm's computer reimbursement program. We've got some valuable information that will assist those facing a FINRA exam.
During the estate planning process, some people ask if they need to treat their children the same in their will. The answer: No, you don't, and sometimes you should not. In fact, there can be very good reasons for not treating your children the same in your will, as Joel Beck discusses in today's short video.
Joel Beck joined Jay Coulter on his podcast, The Resilient Advisor, this morning to discuss Morgan Stanley's exit from the Protocol for Broker Recruiting and what that might mean for financial advisors.