Allowing bond purchases with borrowed funds would have the biggest impact
Accelerating tax deductions and deferring income recognition are two primary ways to benefit from the political climate.
Paul Elvidge got five years for forging clients' signatures and bilking accounts.
Registered rep formed a company and then sold $1.74 million worth of shares to his brokerage clients.
Over an eight-year period, the B-Ds failed to properly supervise sales charge waivers to clients in retirement plans and charitable organizations.
According to the lawsuit, agents being recruited away have been encouraged to create contact lists and download data on flash drives to later solicit clients.
Adviser allegedly hid the true amount of fees he was charging them, leading the couple to pay $1.2 million more than they thought they were being charged.
Judge dismisses lawsuit, citing lack of specific details to support allegations.
The landmark ruling in Tibble v. Edison offers lessons and insights into the duties of 401(k) plan fiduciaries. Read on to find out more
Meanwhile, few brokerages and their trade associations, which blasted the DOL's fiduciary rule in comment letters, are responding to the CFP Board's proposal.
The claim against defunct broker-dealer EDI Financial Inc. highlights a growing problem of unpaid arbitration awards.
Regulator was looking into charges that broker forged customer signatures.
The worst outcome would be if the regulation is gutted after the review.
Lawyer says it was 'slimy' of Finra to publicize the case while it was still being litigated
In the case of investor Peter Deutsch, Fidelity doesn't have to pay any compensation, but regulator said firm put its interests ahead of his.
The more comprehensive the view of client finances, the more prudent the advice.
Ms. McAlister 'manipulated and falsely reported' a key financial metric, agency charges.
After a decade of activity around the lawsuit, including a hearing before the U.S. Supreme Court, judge rules a prudent fiduciary would have invested in institutional shares.
RIAs can enter '0' in some new parts of the document before their annual filing next year.
A central argument against the DOL fiduciary rule is that investors with smaller accounts will be abandoned. But many advisers stand ready to serve them.
