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Once facing scrutiny for its relationship with a previous majority shareholder, the firm settled the regulator’s allegations about an issuer it called “Company A.”
April 12 -
UBS brokers rack up expungements of Puerto Rico complaints
April 7 -
Denise Badgerow won her long legal fight, while a Pennsylvania RIA and the Massachusetts securities regulator are currently weighing their options after decisions.
April 6 -
Financial advisor Jay Womack won a rare rebuke with a punitive payout after a messy split with his former business partner.
April 5 -
There are three basic steps that other financial firms have already adopted in larger numbers than wealth managers.
April 4 -
The regulator plans to focus on Reg BI, ESG criteria, private funds, cybersecurity and crypto assets in 2022, according to its closely watched report.
April 4 -
The firm that did business as Federal Employee Benefit Counselors allegedly made hundreds of fraudulent VA sales to federal employees.
March 31 -
The clearing brokerage and custodian to Naseem Salamah’s former RIA employer has provided restitution to the three “elderly” victims, records show.
March 31 -
A new potential fiduciary rule and a court decision involving independent contractors have the industry and consumer advocates watching carefully.
March 30 -
The guidance touches on the controversial policy debate about conflict-of-interest rules and what it means for brokers to act in the interest of their clients.
March 30