NASAA is proposing model legislation to protect vulnerable adults from financial exploitation.
The Financial Industry Regulatory Authority tries to pull the weeds out of the broker garden, but more sprout up than it can handle.
The Financial Industry Regulatory Authority has proposed a rule that would help the companies it regulates do more to protect seniors and other vulnerable adults from financial abuse.
IRA rollovers are a big business. Investors can’t always believe the hype, according to the regulator FINRA.
Being famous provides no protection from being ripped off by a financial broker.
Investment recommendations must be in the best interest of the client — that does not mean the option with the least fees.
My husband and I have been interviewing financial advisers. We were just about to make a decision when we ran the names of the two top contenders through FINRA BrokerCheck. FINRA is an acronym for the Financial Industry Regulatory Authority, a voluntary association that oversees about 630,820 registered securities representatives. Anyone can use BrokerCheck to