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Even a well-intentioned compliance manual can draw the ire of regulators.
February 21
Cipperman Compliance Services -
The rule’s outlook seems uncertain, but a strong undercurrent is carrying the industry along.
February 17
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The SEC released a letter outlining where the most common deficiencies occur.
February 16
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An adviser at the firm squandered the aging clients' retirement money on oil and gas investments and Puerto Rico bonds, their lawyer said.
February 16
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The fast-food executive withdrew amid controversy over his personal life.
February 16
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The broker was terminated after a series of unauthorized transactions involving the accounts of customers of both BBVA and its affiliate bank, FINRA claimed.
February 15 -
Reflecting industry concern with Department of Labor rule requirements, the firm dubbed the platform as a "One-Click Fiduciary."
February 15
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In spite of its own compliance policies, the firm failed to get several hundred clients to sign a disclosure notice that described risks associated with inverse ETFs.
February 14
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The regulator rebuked the broker for excessive trading that generated more than $666,000 in commissions and fees and resulted in $397,000 in losses.
February 13 -
SEC staff recommended this solution as far back as 2011.
February 13
Ritholtz Wealth Management
