-
The SEC has yet to produce or even propose any binding rules regarding cybersecurity, but officials have been sending strong signals that they expect firms of all sizes to put in place policies and procedures to protect sensitive information.
October 15
-
UBS has agreed to compensate 34 Puerto Rico-based investors for their losses in investments in their municipal bond closed ended funds.
October 15 -
James Katayanagi allegedly created fake ATM cards and used them to swipe more than $14,000 from eight bank customers.
October 10 -
A former UBS broker was ordered to pay back the wirehouse $1.75 million of his recruiting bonus the third such million-dollar judgment against him this year.
October 9 -
CFP Board drops investigation into activist planner after he drops CFP certification.
October 9 -
FINRA barred a Chicago-based broker after it was discovered he transferred over $1 million from client accounts into his own over a number of years.
October 8 -
Deutsche Bank AG, the German lender that has pledged to improve controls after criticism from regulators, hired Elizabeth J. Ford from Goldman Sachs Group Inc. as head of compliance for the Americas.
October 8 -
The pool of FINRA arbitrators lacks diversity, and may be biased as a result, claims an investor advocacy group.
October 7 -
An advisor pair that jumped to Merrill Lynch after just four months with Barclays must pay back over $6.6M in hiring bonuses, FINRA rules.
October 7 -
Pension dropouts cause pinch; Baby boomers face doctor shortage; 5 things to know before applying for Social Security
October 7
