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A recent agency memorandum cited several legal cases to back up its opinion.
June 9
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The regulator says that it issued a notice in 2009 to broker-dealers regarding the risks and complexities of nontraditional ETFs. FINRA says Oppenheimer failed to implement these policies.
June 9
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The regulator cited security oversights that led to the theft of thousands of customer accounts.
June 8
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The nontraded REIT industry moved to introduce a new share class following tighter regulations.
June 8
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The president makes good on his vow to kill legislation that would roll back the new regulations on retirement plans.
June 8
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The regulator also says that the firm suffered from supervisory failures during a four-year period.
June 8
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The new regulations are “arbitrary and capricious," a trade organization asserts.
June 7
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Converging movements – fiduciary, technological and demographic – mean new realities for how a planner will act like a professional.
June 7
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Richard W. Davis also took $1.5 million in fees while he was entitled to just $150,000, the commission alleges.
June 6
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The adviser claimed she was unjustly fired from First Citizens Bank for allegedly making unauthorized bonus payments to her two sales assistants totaling $9,000.
June 6
