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A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.
August 8
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An RIA owner accused the custodian of aiding his chief compliance in setting up a competing firm.
August 7
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The asset manager said it’s seeking a head of ETF capital markets in a post on LinkedIn.
August 7
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The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.
August 5
Securities Arbitration Clinic at the Law School of St. John's University -
Rather than learn from the mistakes exposed regarding false listings of advisors’ “fee-only” status, the board doubled down on looking the other way.
August 2
Wealth Logic -
The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.
August 1
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The once high-profile RIA owner ran a $20 million Ponzi scheme, federal prosecutors said.
August 1
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Former retail brokerage head David Kowach is moving to the consumer bank.
August 1
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At least two clients said they received calls from the advisor where he discussed his departure from the firm, according to the complaint.
July 31
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The agency wants to hire a reputation management expert to burnish its image as it faces social media attacks.
July 31
