Practice

One giant leap for entrenching investor and consumer fraud in our financial system after a federal appeals court rules that a federal judge overstepped his authority in rejecting a settlement between Citigroup and the SEC.

Women describe themselves as more conservative investors who favor socially and environmentally responsible investments

Rex Staples’ securities enforcement experience and his background in securities law will be “a great asset” to the CFP Board, said Kevin Keller, the board’s CEO.

The "mass affluent" service of Bank of America has launched "co-browsing" and speech analytics projects to improve the interactive experiences of clients of its 750 financial advisors in call centers and 600 in banking centers.

California-based investment advisor James Michael Murray allegedly defrauded investors using a bogus report from a fictitious auditing firm to embellish the performance of a hedge fund, according to the SEC.

The Retirement Plans Division of Mutual of Omaha is launching an online education system called SmartPlan Enterprise to provide risk tolerance and investment strategies to its participants.

Retirement executives at Fidelity Investments today have a few billion reasons to smile. That’s because the plan provider has renewed its contract with Raytheon Company, a technology and defense company, through 2017. The two companies have a 20-year relationship that began in 1992.

ING has released a new mobile application that allows ING retirement plan participants to access and manage their retirement plan account information in transit.

Private company share trader SharesPost and its chief executive, Greg Brogger, have agreed to pay penalties, of $80,000 and $20,000 respectively, to settle charges that the firm facilitated securities transactions without registering with the SEC as a broker-dealer.

ING today released a new mobile application that allows ING retirement plan participants to access and manage their retirement plan account information in transit.