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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=20170423055805

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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Piwowar says it's time for SEC to 'reassert its role' on investment advice standards

Apr 21, 2017

As DOL fiduciary rule stalls, acting agency chairman seeks to have SEC step in

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Former broker wins $1.8 million arbitration award against PNC Investments for wrongful firing, defamation

Apr 19, 2017

Finra panel determined that the allegations against her had nothing to do with the securities business

ric-edelman

Ric Edelman proposes Social Security fix: Allot $7,000 for each baby

Apr 19, 2017

Adviser's plan begins with the federal government setting aside money for each newborn baby for 35 years, to be invested for the child's retirement

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Even supporters of DOL fiduciary rule call for modifications

Apr 18, 2017

The Investment Adviser Association wants a safe harbor for sales conversations. Meanwhile, Morningstar suggests a replacement for the best interest contract exemption

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SIFMA wants a 'time out,' seeking longer delay of DOL fiduciary rule

Apr 17, 2017

Meanwhile, the Consumer Federation of America complains that the Trump administration has prematurely made up its mind to repeal or replace the fiduciary measure

Supreme Court

Supreme Court to hear financial adviser case involving disgorgement

Apr 17, 2017

Charles Kokesh is appealing a lower court's decision siding with the SEC that gains reaped through securities-law infractions do not fall under the five-year statute of limitations

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Finra arbitration panel awards Wilbanks Securities investor $1 million for misleading sales pitch on variable annuity

Apr 14, 2017

The client received far less than the 7% compounded annual return promised by the firm when she bought the variable annuity, according to her attorney

Signs

DOL faces tough road in revising or repealing fiduciary rule

Apr 13, 2017

Any significant changes would likely spur a lawsuit, and the courts have been tougher on regulators when they reverse course on rules after a new president comes into office

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Morgan Stanley reaches $1 million settlement with Massachusetts over high-pressure sales contest

Apr 12, 2017

The contest involved persuading customers to take out securities-based loans in which they borrowed against the value of their portfolios

money storm

State insurance commissioners consider strengthening annuity sales rules

Apr 12, 2017

DOL fiduciary rule inspires questions about whether annuity transactions' current suitability standard is sufficient

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