Finra suspends Jacqueline Jacobsen for six months and fines her $5,000
Mark Lamkin borrowed $1.3 million from a client and didn't disclose it, according to the regulator
Patrick Coogan signed bank ‘control agreements’ for a customer's loans without authorization
Efforts to upend arbitration decisions were criticized by claimants' attorneys
Voya Financial will rebate certain fees related to early withdrawals and loans through September
One-time rebate checks, relaxed rules on required minimum distributions and changes in tax filing deadlines are all pluses
The company failed to monitor plan fiduciaries' handling of investment and record-keeping fees, the judge wrote
The North American Securities Administrators Association website provides a rundown of relief granted by each jurisdiction
Unless clients are in dire circumstances, tapping retirement assets now is a losing strategy
Gerald Dewes had been discharged by the firm for selling away
The $2.2 trillion stimulus package makes retirement assets easier to access, but participants should proceed with caution
Attorneys for users suing the company asked a judge to order Robinhood to stop sending 'misleading communications'
Conflicts of interest are a threat, but some regulators don't seem to see the need to restrain them
The $2.2 trillion bill will boost unemployment benefits and small-business loans, but some advisers said that might not be enough
The lawsuit had charged university representatives with failing to negotiate a better deal for the participants in its retirement plan
The organization’s premier event sets the tone for its oversight of brokerages
The regulator is allowing mutual funds to borrow from managers or other funds to meet redemption requests
The House is scheduled to vote Friday; President Trump has said he would sign the legislation immediately
The final measure also makes it easier to withdraw funds from retirement accounts in an emergency
New SEC order eases requirement for advisory firms to explain why they need to delay ADVs
