The lawyers' group warns that adjudicating certain claims externally and limiting punitive damages, among other suggestions, could hurt investors.
An appeals court sided with a pension fund, ruling Perfection Bakeries must apply a $2M credit earlier in its withdrawal liability calculation.
Agreement with the US Department of Justice comes eight years after settlement.
Changes in legislation or additional laws historically have created opportunities for the alternative investment marketplace to expand.
A new proposal could end the ban on promoting client reviews in states like California and Connecticut, giving state-registered advisors a level playing field with their SEC-registered peers.
The Wall Street giant has blasted data middlemen as digital freeloaders, but tech firms and consumer advocates are pushing back.
TradeStation Securities' communications violated industry rules, including falling short on describing the risks involved in investing in volatile crypto assets.
Depending on the state of his will or trust, the former wrestling icon's assets could also face claims from creditors and his estranged daughter.
A new analysis finds long-running fiscal woes coupled with impacts from the One Big Beautiful Bill Act stand to erode the major pillar for retirement income planning.
Caz Craffy, whom the Department of Justice hit with a 12-year prison term last year for defrauding grieving military families, has been officially exiled from the securities agency.
The customer's UBS financial advisor allegedly mishandled an options strategy called a collar, according to the client's attorney.
An expansion to a 2017 TCJA provision, a permanent increase to the standard deduction, and additional incentives for non-itemizers add new twists to the donate-or-wait decision.
The SEC says First Liberty lured investors with high-yield promissory notes, then used fresh cash to cover defaults and interest owed to earlier investors.
Staffing shortfalls, new policies, and increased demand for clarity create potential speed bumps for tax planning and compliance.
The new deal involves 15% tariffs and $550 billion in Japanese investments in the US.
The ex-Bay Area broker reportedly continued to peddle fake bond investments, promising rates of returns exceeding 20%, even after FINRA suspended his license in 2014.
Predictive analytics, artificial intelligence, and cybersecurity are now high on compliance officers' lists as off-channel communications are relegated down the rankings.
Rajesh Markan earlier this year pleaded guilty to one count of criminal fraud related to his sale of fake investments to 10 clients totaling $2.9 million.
"The outcome is correct, but it's disappointing that FINRA had ample opportunity to investigate the merits of clients' allegations in these claims, including the testimony in the three investor arbitrations with hearings," Jeff Erez, a plaintiff's attorney representing a large portion of the Stifel clients, said.
A new PitchBook analysis unpacks sticking points relating to liquidity, costs, and litigation risk for would-be investors and plan sponsors.
