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The fees affected hundreds of thousands of customers and the total cost could climb to more than $180 million, according to a report in The Wall Street Journal.
July 20 -
Passive income held offshore may benefit from an arcane provision signed into law by President John F. Kennedy.
July 12 -
Six fiduciary groups call on advisors press SEC to clarify the differences between advisory and brokerage business models.
June 28 -
Lawmakers praise the spirit of the rule, but want to see a true uniform fiduciary standard.
June 21 -
The firm agreed to settle and admitted wrongdoing, according to the regulator.
June 20 -
FINRA plans to unveil a new user interface for its central registration depository system on June 30.
June 15 -
Critics say the SEC isn’t living up to promises made when Jay Clayton became chairman.
June 7 -
Investors may support the pay hikes, but protesters says the bank owes customers more.
April 26 -
The payout brings the distribution to more than $1.2 billion, a fraction of the more than $50 billion scam.
April 12 -
Only 17 states permit these trusts, which can play an important role in planning for income taxes and estate taxes.
April 3