"We agree with the need to strengthen the enforcement program," said CFP Board CEO Kevin Keller on Tuesday, responding to a Wall Street Journal report that found thousands of CFP designation holders had customer disputes or criminal charges on...
The story of Wayne McLeod illustrates how, in broker/dealer land, compliance red flags are often ignored when the broker is pulling in a lot of money.
Chris Flint has been endorsed by the Financial Services Institute and the Bank Insurance & Securities Association in his attempt to fill a 'Large Firms' seat on the Board of Governors for the regulatory agency.
The form’s rules create several challenges. Don’t delay working on it.