-
Having hit most of the big Wall Street firms with hefty fines for misusing WhatsApp and similar services, regulators are now turning their attention to independent advisors.
April 4 -
A magistrate judge finds the clients' family failed to put forward 'legally sound' claims that JPMorgan breached any duties by putting an elderly couple into risky securities tied to oil and gas.
April 4 -
The case is the latest to emphasize advisors' obligations to let investors know when they receive money for recommending certain mutual fund products.
April 2 -
Regulators contend two firms falsely advertised themselves as the first to apply artificial intelligence to investment recommendations.
March 18 -
The legal action also alleges Mark Lamkin's former associates conspired behind his back to prevent him from leaving with his clients.
March 14 -
The Financial Services Institute continues to push for a return to a Trump Administration rule it contends offered clarity in employment questions.
March 6 -
Coverage providers have come to expect that some clients will find fault with their advisors during down markets, whether the blame is warranted or not.
March 5 -
A lawyer says the industry has been on notice at least since the "Boom Boom Room" scandal of the 1980s that hostile workplaces won't be tolerated.
February 28 -
Industry lawyers say the case shows that "half disclosures" of brokers' conflicts of interest won't be enough for regulators.
February 20 -
Christopher Armstrong and Randall Kiefner question an arbitration ruling finding they owe Charles Schwab nearly $3 million.
February 15