Matthew Sellers

Matthew Sellers
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Another major bank/broker-dealer hit by SEC action
REGULATION, LEGAL & COMPLIANCE JUL 28, 2023
Another major bank/broker-dealer hit by SEC action

Big fine expected as the agency looks for another scalp.

Edward Jones named in potential Canadian class action
FINTECH JUL 27, 2023
Edward Jones named in potential Canadian class action

Investors join nationwide law firm suit.

Playboy Race Team-linked financial advisor who defrauded NHL players in court again
REGULATION, LEGAL & COMPLIANCE JUL 27, 2023
Playboy Race Team-linked financial advisor who defrauded NHL players in court again

Clients included Stanley Cup champions, other NHL stars.

$425 million advisory team jumps to LPL from Merrill
INDEPENDENT BROKER DEALERS JUL 26, 2023
$425 million advisory team jumps to LPL from Merrill

Woman-led firm sets up independent practice in Washington state.

"Our glass is half empty" — why your clients are worried
RETIREMENT PLANNING JUL 26, 2023
"Our glass is half empty" — why your clients are worried

It's not just older workers who are concerned about their ability to save for retirement.

Lenders announce merger as shockwaves from SVB collapse rumble on
RIA NEWS JUL 26, 2023
Lenders announce merger as shockwaves from SVB collapse rumble on

Two California-based banks reach agreement.

In surprise announcement, IRS says it will stop unannounced tax visits
REGULATION, LEGAL & COMPLIANCE JUL 24, 2023
In surprise announcement, IRS says it will stop unannounced tax visits

Knock, knock, who’s there? Not the IRS anymore — at least not without an appointment.

Trump-linked SPAC to pay $18M fine to SEC over 'material misrepresentations'
REGULATION, LEGAL & COMPLIANCE JUL 21, 2023
Trump-linked SPAC to pay $18M fine to SEC over 'material misrepresentations'

Share price soars on news.

Goldman Sachs, Morgan Stanley and others spend $1 billion on redundancies
PRACTICE MANAGEMENT JUL 21, 2023
Goldman Sachs, Morgan Stanley and others spend $1 billion on redundancies

More job cuts to come, meanwhile JPMorgan is hiring.

Charles Schwab results are in — and they're down
RIA NEWS JUL 18, 2023
Charles Schwab results are in — and they're down

'Significant near-term headwinds' hit the giant financial company in the bottom line.