A judge denied Gwen Campbell's request to temporarily bar fellow bankers at JPMorgan from soliciting business from clients she brought with her from BofA, clients who reportedly include former New York Yankees star Alex Rodriguez.
The agency says the firm distributed unregistered shares unlawfully and failed to file suspicious activity reports.
The central bank also said it will double the pace at which it's scaling back purchases of Treasuries and mortgage-backed securities, putting the program on track to conclude in early 2022 rather than at midyear.
A bug earlier this year let plan sponsor clients view outside participants' data, and one man claims he and others suffered consequences.
The agency received a trove of public comments on its proposed ESG changes, and many were penned by people concerned about a perceived liberal agenda.
Law firms representing the plaintiffs cite fiduciary failures in moving to in-house funds and high fees for record keeping and managed accounts.
Record highs for B-Ds in profits, revenues and assets give the industry much to be cheery about.
Partisan differences will hamstring legislation, as Democrats stress investor protection and Republicans focus on protecting innovation.
The acquisition marks the third deal for ComplySci in the fourth quarter, in the wake of a strategic investment from K1 Investment Management, a private-equity firm focused on enterprise software companies.
The SEC chairman's comments were the strongest signal to date that he'll push for much tougher rules for special purpose acquisition companies.
Finra found that for 17 years, the firm failed to store 13 million customer records in the required format.
The trade association said the regulator has all the tools and authority it needs through Reg BI. It's also pushing agencies to allow remote supervision permanently.
The two executives, Dane Roseman and Ivan Acevedo, were both sales managers for Woodbridge at different times between 2013 and 2017.
The Supreme Court justices hinted at different positions on whether Northwestern did a disservice to participants by having too many options.
Record net inflows are just a part of the story. ETFs continue to take market share of mutual funds by doing more for less.
The nominee to head Employee Benefits Security Administration could receive full Senate confirmation later this month.
The legislative highlight of the year was Democrats raising fewer taxes on the wealthy than anticipated.
Many advisers are telling clients to wait until the smoke clears on Capitol Hill before making major tax planning decisions.
The plaintiffs failed to make any factual allegations about the Adidas plan sponsor’s process of selecting investments, the magistrate judge noted.
Riding the direct indexing wave, the WisdomTree Crypto Index is designed for advisers but could also offer direct access for retail investors.
