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Mark Schoeff Jr.

Reporter: Regulatory / SEC / Taxes

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Mark Schoeff Jr.http://www.investmentnews.com/apps/pbcsi.dll/persbilde?Avis=CI&ID=MSCHOEFF&maxw=220&cci_ts=20170329031711

Mark Schoeff Jr. covers Capitol Hill and regulatory agencies for InvestmentNews. A former Senate aide, he’s seen firsthand the best and worst of Washington since the end of the Bush 41 administration. An Indiana native, he’s a victim of capture himself — by the capital’s sport teams — becoming a Nationals, Wizards and Skins fan.

Recent Articles

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Brokers riled by overlapping enforcement penalties from multiple regulators

Mar 27, 2017

With several agencies patrolling the same beat, advisers and firms can be hit with numerous sanctions for a single infraction

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SEC chairman nominee Clayton not asked about key adviser issues, reveals no specific plans

Mar 23, 2017

President Trump's choice to head the Securities and Exchange Commission spent most of his confirmation hearing fending off questions about conflicts

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Finra launches '360' initiative to review operations, 'look at ourselves from all perspectives,' says CEO Robert Cook

Mar 22, 2017

Project launches with request for comment on Finra's 'engagement' with its financial-firm members and others

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SEC watchers say Trump may not follow traditional party split on regulatory panel

Mar 21, 2017

The president could appoint two independent members or simply leave the vacancies open

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Finra's lobbying expenses down, but regulator still spends heavily to make sure its voice is heard on Capitol Hill

Mar 16, 2017

Organization recently hired Capitol Hill veteran to head up its government relations efforts

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Financial Planning Coalition: DOL fiduciary rule delay harms investors, violates regulatory requirements

Mar 15, 2017

The coalition of groups representing investment advisers voiced its warning in a comment letter on the delay proposal.

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DOL fiduciary rule opponents file injunction in Dallas court

Mar 14, 2017

They face the challenge of asking for the order from the same judge who ruled against every claim in their lawsuit

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Client wins $357K clawback in arbitration from Wells Fargo over unsuitable investments

Mar 13, 2017

The award cited investments made in unspecified energy and housing products

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Senate Democrats push Finra to create fund to compensate investors for unpaid arbitration claims

Mar 9, 2017

Sen. Elizabeth Warren says investors are being taken advantage of by brokerage firms, citing a study that determined the industry failed to pay $62 million in claims in 2013

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