On 4th anniversary of Dodd-Frank, adviser issues remain unresolved as regulators give priority to other more pressing mandatory provisions.
Andrew Bowden, director of the Office of Compliance Inspections and Examinations, will be returning to the private sector.
House Republicans flexed their muscles during the first week of the new session of Congress, setting up a future fight over Social Security funding that will probably take shape in the lame-duck session after the 2016 elections.
Incoming Senate finance chairman Orrin Hatch says retirement vehicles are the 'greatest wealth creator' for the middle class, and shouldn't be part of tax reform.
Nicholas Schorsch is taking a step back from the top role at three nontraded REITs he controls, handing the reins of two to his longtime investment partner. <i>See also: <a href="//www.investmentnews.com/article/20140917/INFOGRAPHIC/140919935"" target=""_blank"" rel="noopener noreferrer">Schorsch's vast web of businesses</a></i>
Two advisers who had $3.5 million in production took confidential information when they moved to J.P. Morgan Securities, suit alleges.
The lightning pace at which NBC News anchor Brian Williams lost credibility with the public raises the question of whether it's ever acceptable to bend the truth.
Don't assume retiree health care benefits provided by companies are forever.
The rise and fall of the notorious owner and CEO of the defunct independent broker-dealer John Thomas Financial is now complete, and senior columnist Bruce Kelly says the industry won't miss him.
Today's <i>Breakfast with Benjamin</i> features a look at how Bill Gross' own money is pumping up his new Janus fund. Plus: The Fed ponders and ponders some more, the surging dollar is poised for a pullback, another Obamacare surprise for tax-filers, and how grandchildren can derail retirement plans.
Cited for due-diligence failure and not mentioning millions in fees received.
Plaintiff's attorneys say lack of diversity among panelists means disadvantage for investors.
BlackRock is facing a potential class action by investors &mdash; including a lottery-winning Florida financial adviser &mdash; who assert the firm has breached its fiduciary obligations by charging exorbitant fees.
Bill would help insurance agents more efficiently get licensed to practice in multiple states.
The budget increase the SEC received from Congress is “insufficient” to significantly boost investment-adviser examinations, according to an SEC official charged with representing retail investors.
In examining broker-dealers this year, Finra will zero in on the sale of sophisticated investment products that can be whipsawed by interest rate fluctuations. What do you need to know to protect your practice?
Expect more due diligence on funds and fees, and expect to do it more frequently.
A team of elite advisers who was <a href="http://www.investmentnews.com/article/20140919/FREE/140919904" target="_blank">fired last month</a> by Bank of America Merrill Lynch over private securities transactions has found a new home. <i>(Plus: The team <a href="http://www.investmentnews.com/article/20141007/FREE/141009940/terminated-2-5-billion-merrill-lynch-team-plans-to-fight-back" target="_blank">plans to fight back</a>.)</i>
Mr. Khuzami, who is now a partner at Kirkland & Ellis, has signed on as Mr. Kay's attorney in the defense of a complaint filed in December.
A blockbuster lawsuit alleging misconduct by Nicholas Schorsch is one of many issues confronting his vast real estate empire.
