LPL Adds Shaw Financial to its RIA Platform
- Friday, 16 August 2013
- News Roundup
Shaw Financial Services, which has $360 million in client assets, has transitioned its custody and broker-dealer operations to LPL Financial. So reports the San Francisco Chronicle.
Read more...Advisors Fear Expanded Role by FINRA
- Sunday, 02 December 2012
- Regulatory & Compliance
Some advisors say they fear a new FINRA arbitration program for Registered Investment Advisors may allow the regulator to expand its regulatory clout beyond broker dealers, reports the Wall Street Journal.
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