The commission accused Julie Anne Darrah of a multi-year scheme targeting elderly female advisory clients spanning from before and after her firm joined Wealth Enhancement Group.

At this stage of clients’ lives, addressing fears is just as important as their goals.

For years, BlackRock inaccurately described Aviron as a “diversified financial services” company, when it was a movie production outfit.

But a new FINRA rule making it easier for state regulators to oppose expungements could solve some long-standing problems.

Proposed changes to the Uniform Business Practices Rule conflict with Reg BI, will increase costs and decrease choice for investors and financial advisors, writes Cetera’s director of regulatory affairs.