The Investment Adviser Association, CFP Board, and the CFA Institute warn semiannual filings would widen information gaps and raise costs for advisors and clients.
Clients say he copied the boss on his emails - and now they can't touch their cash.
He wired millions to his own accounts and told investors the fund was winning.
Juan Rionda, a Merrill veteran, told bereaved client that “he loved her,” convinced her to give him cash, a Florida lawsuit claimed.
Broker-dealers that sold the defunct securities backed by Inspired Healthcare generated more than $100 million in fees and commissions.
FINRA barred the advisor, Sung Moo Cho, last month.
Supervision vice chair speaks following recent launch of AI adoption practices by regulators.
Auditors flagged the commingling. The COO allegedly knew. Investors kept getting the pitch
A trustee says it has no record of the investor now suing it for $50 million
Legislation seeks to loosen access to private markets to include professional advice from RIAs and broker-dealers, not just income or net worth.
Financial services trade groups back new authority letting mutual funds pause suspicious redemptions from vulnerable investors
A $141M judgment and a federal asset freeze collide over one shrinking pool
A bipartisan proposal aimed at aligning advisor compensation rules with modern business structures is headed to the full House.
Roundhill, Bitwise and GraniteShares funds remain on hold while the agency weighs how novel ETFs should be regulated.
Regulators found Bank of America's monitoring software had a known flaw Merrill left uncorrected for years.
A 5-4 ruling preserves the Federal Reserve's independence for now, but the legal fight over presidential removal power is far from settled.
Advisors and broker-dealers adjusting to the March 2026 threshold change face bigger challenges around back-end monitoring than the new dollar limit itself.
“It’s time for an economic reset,” wrote the California governor, in a post on X.
Masterworks was launched in 2017 but its RIA, Masterworks Advisers, is just three years old.
One 2017 form, no broker license, and a $42 million gap they say surfaced on a webinar.
