Chuck Roberts and Stifel have been facing scrutiny due to sales of structured products and structured notes.
Among other updates, the proposals would let advisors to regulated funds earn performance fees and allow interval funds to offer monthly repurchases.
Anguilla-based affiliates may have been shams, the court said
Advisors with clients who own second homes in New York City face fresh uncertainty as the city seeks a stay and plans an appeal.
Retiring RIA seller David Laidlaw alleges the Carnegie valued his stake on $11.7 million EBITA while pitching potential buyers on $21.3 million.
Investors got projected returns dressed up as real ones, SEC says
Parents must still act to get the $1,000 federal seed and employer contributions, giving financial advisors a role in the rollout.
FINRA booted Rudy Anguiano from the industry for “conversion - the intentional and unauthorized taking of another person’s property.”
Notice 2026-62 also flags box spread ETFs and tax-aware fund trades as Treasury opens month-long consultation period.
The firm's former general counsel walked away clean
Salespeople at the firm often went beyond the matching algorithm to recommend network advisors on its Zoe Wealth platform, according to the regulator.
The Protect College Sports Act would cap school payments and codify NIL rights, with implications for advisors guiding young athletes.
765 investors were promised 260% annual returns on truck leases
Senate Democrats seek data on data center deductions under the 2025 tax law as proposals to tax artificial intelligence multiply.
Less than 1% of pool funds went to actual trading, CFTC says
He owes $364 million but pays $100 a month
Bill would make PE firms liable for portfolio company debts and close carried interest loophole as alternatives push into 401(k)s.
In a constant fight over control of clients, the financial advice industry has a long history of such allegations and disputes.
He allegedly used a practice trading account to manufacture the numbers
Faulty Forms 1099 and account statements reportedly left some Vanguard brokerage customers overpaying or underpaying taxes for over a decade.
