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The regulator also faulted Merrill’s supervisory policies and procedures.
March 26
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The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.
March 26
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The firm’s founder “knowingly engaged in a multi-year scheme to mask the poor performance of one of the funds’ largest investments,” the SEC alleged.
March 26
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The Massachusetts Democrat has repeatedly called for Tim Sloan’s ouster due to the bank's scandals that first came to light in 2016.
March 25
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The independent broker-dealer accidentally published a list of credits of its most lucrative advisors.
March 22
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Chuck Person persuaded student-athletes to form illegal business relationships with at least one financial advisor.
March 21
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Like the industry it oversees, the regulator has rising technology and compensation costs.
March 21
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Warnings from the brokerage sector as Nevada advances a uniform fiduciary rule have a familiar ring.
March 20
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The regulator is looking into whether brokers made appropriate share class recommendations for the plans as a result of the new law.
March 19
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The ex-advisor and self-described "Money Doctor" solicited older clients on his radio shows, the regulator says.
March 14
