The regulator also wants to toughen enforcement and see better advice given at banks
Deal includes 16,000 accounts, $2 billion in assets, 30 advisors
Association paid outstanding invoice, plus interest and majority of legal fees, SeeWhy says
Off-channel communications hamper regulatory oversight
The claim is the third against the national financial advisors association in recent months
Appeals by advisor, analyst in insider trading case dismissed
Lawsuits seeks damages for certain BMO advisors
A slower economy, inflation, higher legal fees contribute to increased rates
Study participants preferred to rely on the knowledge of professionals rather than learn about investing
SRO consults on options for resolving long-standing regulatory disparity