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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
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The U.S. Chamber of Commerce, SIFMA, FSI and other groups are asking a Texas court to vacate the Labor Department's new regulations less than a year before the rule goes into effect.
June 2
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The firm is facing a lawsuit on behalf of investors who lost money in a $350 million Ponzi scheme.
June 1
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The firm's relatively modest-sized army of advisers is more productive than any of its competitors. In 2015, the average Raymond James adviser produced $387,733, beating Cetera, its closest rival, by more than $56,000.
June 1
