Displaying 10214 results
Merrill fined $2.5 million for supervision violations in Massachusetts
Training session did not include discussion of fiduciary requirements when commission-based assets are moved to fee-based accounts
The financial services industry needs real leaders
Vision statements, codes of ethics, and rules and regulations have failed to serve as effective road maps for ethical discernment
Possible election to Congress has this adviser thinking of practice transition
After winning his party's primary for a House seat, French Hill contemplates next move.
JPMorgan sues $2B team who left for Morgan Stanley
JPMorgan is seeking a restraining order against six brokers for allegedly contacting clients and defaming the company.
Tim Geithner spills the beans on how he navigated the financial crisis
Breakfast with Benjamin: Former Treasury Secretary Timothy Geithner spills the beans on how he navigated the financial crisis.
DOL fiduciary rule in crosshairs of new spending bill
House measure would forbid Labor Department from spending any funds to finalize or implement the rule.
Phony adviser convicted for conning a real adviser out of $11.3 million
Breakfast with Benjamin: A fake financial adviser was found guilty of wire fraud and money laundering related to $11.3M he conned from a real adviser.
Supreme Court hands down decision in key 401(k) lawsuit
Message to advisers: Mind recommended fund lineups, review plan sponsor contracts.
Advisers like Rubio tax plan’s simplicity, but shudder at details
Plan would cut almost all tax deductions, but also would eliminate taxes on estates and capital gains, dividends.
Third Madoff employee avoids prison sentence
David Kugel, who helped create fake securities trades as part of the $17.5 billion Ponzi scheme, received a lighter sentence after helping the prosecution.
7 signs the fiduciary movement is coming to an end
The reasons why it's time to close the curtain on the fiduciary movement and move on to finding the answers to more impactful questions
SEC’s whistleblower program is a game changer
The following is an edited transcript of an April 30 speech by Securities and Exchange Commission Chairwoman Mary…
Brokerage industry lobbying dollars dwarf investment advisers’
The brokerage industry's lobbying spending dwarfed advisers' in the first quarter, with the DOL fiduciary rule a primary focus.
Automating better compliance to meet new SEC requirements
Here's how to meet the regulator's cybersecurity demands to protect your client's data
Top GOP senators pressure DOL on fiduciary-duty timetable
GOP senators, including those with oversight of the agency, are among three dozen co-signers of a letter to Labor Secretary Thomas Perez seeking more time to comment.
CFP Board cracks down on compensation disclosure, revokes a license
Two others advisers are admonished
Nationwide to pay $8M to settle with SEC over variable annuity mail snafu
Insurer charged after agency found it deliberately delayed receipt of variable annuities and life insurance orders, resulting in a failure to price them in a timely manner.
An inside look at DOL chief Thomas Perez making the case for the fiduciary rule
First-hand account of the Labor secretary's appearance at a 26-person round table to discuss fiduciary
Split with White House widens as Democratic lawmakers ask DOL to extend comment deadline on fiduciary rule
House and Senate Dems sent separate letters this week to Labor Secretary Thomas Perez asking him to add 45 days to the 75-day comment period.
Finra arbitration panel hits Robert W. Baird & Co. with $17.8 million penalty
The asset and wealth management firm was accused of unfair competition and solicitation.
