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The move brings wealth building and retirement planning advice to a large, underserved population of new clients.
July 1
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The SEC alleged the company did not disclose its conflicts of interests related to mutual fund share classes, cash sweep arrangements, and no-transaction fee revenues, according to a recent SEC filing.
July 1
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The free trading app’s breakneck growth hurt the same small-time investors it sought to empower, FINRA says.
July 1
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During his tenure as New Jersey’s top lawyer, the state proposed tougher rules for investment advisors and joined other states in suing financial firms.
July 1
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The Advisor Group IBD missed 55 alerts suggesting suspicious disbursements by clients of Hector May, according to the SEC.
July 1
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The penalty stems from lapses tied to a March 2020 outage and allegations that the fintech firm let thousands of clients trade options that might not have been appropriate for them.
June 30
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Thousands of clients paid sales charges that they wouldn’t have incurred had they held the pricey alternative products until maturity, according to FINRA.
June 28
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Such changes can occur without new rulemaking, agree fiduciary advocates and ex-regulators at an Institute for the Fiduciary Standard press conference
June 23
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The nonprofit's response to the scathing criticism of the Independent Task Force on Enforcement was to protect its own executives at the expense of benefiting investors, writes Allan Roth.
June 23
Wealth Logic -
The SEC has tweaked certain accounting rules and is considering doing more.
June 23
