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A client's lawsuit claims the snafu caused users of its app “to miss out on some of the highest single-day market gains in recorded history.”March 5
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Five years of alleged promises, checks that never arrived, and a mysterious employee named “Tryg Nederloe” add up to a bizarre saga with wide ramifications.March 2
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The major custodian lost its second arbitration case — with even more filings likely — over the services it provided to a brokerage later proved to be engaged in massive fraud.February 27
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The wealth manager claimed bank management knew a customer had a history of sexual harassment, but allowed him to continue doing business at the branch anyway.February 14
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FINRA blocked the influential advisor and wealth management entrepreneur on one case, but an arbitrator backed him on another.January 22
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Funds that track custom-built indexes often seek exposure to securities based on factors like ESG and strategies that would typically be actively managed.December 16
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The cases allege unsuitable recommendations of LPs issued by affiliates of GPB Capital, which faces multiple investigations.October 17
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A disgruntled client is poking at the firm’s low returns from its default sweep program, as well as its disclosure around the practice.September 26
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The rule unfairly gives brokers a leg up in the marketplace, harming the network’s 1,000 independent advisors, the firm claims.September 10
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The document further complicates an ongoing lawsuit that has already led to lost revenues at the leading turn-key asset management platform.September 3
