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Merrill Lynch hit with record $26 million action over broker churning
New Hampshire Bureau of Securities Regulation called the settlement the 'largest monetary sanction' in the regulator's history
End the confusing muddle of advice standards
Establishing an easily understood rule for advisers shouldn't be this difficult
Two more big 401(k) lawsuits filed, one dismissed
RR Donnelley and Cognizant Technology Solutions were sued, and Trader Joe's fended off a legal attack
FinHub becomes a separate SEC department
Valerie Szczepanik will continue to head the office
Another election, another change in investment advice regulation
Fiduciary duty? Best interest? They’re ultimately political decisions
SEC charges boiler room operator with $2.1 million fraud
Mark Lisser peddled 'pre-IPO' shares in New York and Florida
Advisers welcome additional educational requirements
A NASAA model rule would impose 12 hours of CE annually for IARs
Thomas Sporkin tapped by CFP Board to head enforcement
The former SEC executive will beef up the organization's detection, investigation and prosecution
Finra slaps reps who carried client information out the door
Two former wirehouse brokers run afoul of Reg S-P, according to Finra
Nasdaq plans to require more diversity on listed company boards
Under the proposed rules, most companies on the U.S. exchange would have to have one woman director and one who is minority or LGBTQ
Last call for coronavirus-related distributions
CRDs are only available until year-end, so advisers should contact any clients who may still benefit from taking a distribution before the option expires
SEC settles with RIA involved in $3 million Ponzi scheme
Craig Rumbaugh and his California-based firms will pay $1 million for misleading investors
Two sponsors settle 401(k) cases, Victoria’s Secret owner sued
A grocery chain is paying $17.5 million in one case, and a pharmaceutical company is shelling out more than $2.5 million in another
Labor Department sends fiduciary rule update to OMB
Approval may be moot as the new administration could easily quash it
Social Security shortchanged some older workers, survivors
Two new audits reveal underpayments to certain groups of beneficiaries
Gig workers could get stock under SEC proposal
Plan would allow drivers, people who deliver food and other gig workers to receive up to 15% of their compensation in shares
DOL lifetime income rule under fire from lawmaker
Sen. Richard Neal, D-Mass., criticized the measure for not including an assumption that 401(k) balances appreciate
JPMorgan Chase penalized $250 million for risk management failings
Regulators found that the bank's asset and wealth management businesses lacked controls to avoid conflicts of interest
Janet Yellen at Treasury signals Biden’s focus on boosting economy
As Treasury secretary, the former Federal Reserve chair is expected to support expansionary government spending
Wells Fargo loses defamation fight to fired broker
Amy Webster was a former bank broker for Wells Fargo Advisors for 13 years and claims the company made 'defamatory' remarks on her Form U5
