Financial Counselhttp://www.financialcounsel.comFinancialCounsel.com provides legal advice to investors & advisers. Your Trusted Source for Financial Counsel.en-us60SEC Chairman Jay Clayton’s quest to forge a fiduciary standardhttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171104/FREE/171109986/sec-chairman-jay-claytons-quest-to-forge-a-fiduciary-standardSat, 04 Nov 2017 00:00:00 -0400Finra: Morgan Stanley must pay Schwab $1.2 million over broker recruiting violationhttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171103/FREE/171109962/finra-morgan-stanley-must-pay-schwab-1-2-million-over-brokerFri, 03 Nov 2017 00:00:00 -0400Questar to pay nearly $800,000 for overcharging charities and#8203;and#32;http://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171103/FREE/171109969/questar-to-pay-nearly-800000-for-overcharging-charities-32Fri, 03 Nov 2017 00:00:00 -0400SEC investigates potential fraud of $1 billion at California firmhttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171103/FREE/171109970/sec-investigates-potential-fraud-of-1-billion-at-california-firmFri, 03 Nov 2017 00:00:00 -0400Finra panel orders Houston firm and two reps to pay $2 million for securities saleshttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171102/FREE/171109982/finra-panel-orders-houston-firm-and-two-reps-to-pay-2-million-forThu, 02 Nov 2017 00:00:00 -0400Former LPL broker loses $30 million claim against old firmhttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171102/FREE/171109987/former-lpl-broker-loses-30-million-claim-against-old-firmThu, 02 Nov 2017 00:00:00 -0400Senate Banking Committee approves SEC nominees Hester Peirce and Robert L. Jackson Jr.http://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171101/FREE/171109995/senate-banking-committee-approves-sec-nominees-hester-peirce-andWed, 01 Nov 2017 00:00:00 -0400LPL to pay $295,000 for Ponzi scheme probe in North Carolinahttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171027/FREE/171029937/lpl-to-pay-295000-for-ponzi-scheme-probe-in-north-carolinaFri, 27 Oct 2017 00:00:00 -0400Senate’s takedown of the CFPB’s class-action rule may pave way for challenge to Finra policyhttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171025/FREE/171029959/senates-takedown-of-the-cfpbs-class-action-rule-may-pave-way-forWed, 25 Oct 2017 00:00:00 -0400Wedbush Securities, once again, in trouble with regulatorshttp://www.financialcounsel.com/news/http://www.investmentnews.com/article/20171025/FREE/171029961/wedbush-securities-once-again-in-trouble-with-regulatorsWed, 25 Oct 2017 00:00:00 -0400