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A decision backing the surviving shareholder in a family business could have carried major tax implications to succession plans. Instead, SCOTUS backed the IRS.
June 10
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The American Securities Association accuses the industry regulator of violating federal sunshine law for rebuffing its requests for insight into more than $3 billion in recent settlements with Wall Street giants.
June 7
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The new court action comes amid ongoing litigation over Gregg Desmarais' alleged poaching of clients and assets for Raymond James.
June 7
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An industry lawyer says the firm's liability in a complex insurance-related scam will hinge on what it "should have known" or "must have known."
June 6
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The lawsuit alleges that Jim Chanos "planned on using his power as general partner to run the company into the ground, enjoy the tax benefits of his financial shenanigans, and leave his partners with nothing."
May 30
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The disturbing nature of the claims and puzzling sequence of events add a fraught layer to what was already going to be a challenging CEO handoff from the founder.
May 8
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Sixteen advisors argue the megabank owes them more than $270 million over false promises they were made when being recruited.
May 7
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When a small company holds a life insurance policy, estate planning gets complicated — which is why assigning it to an individual or a family may be the better choice.
May 3
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As it and other critics pursue a coordinated legal strategy, a trade group for independent insurance agents requested an injunction to put the regulation on hold.
May 3
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Advisor advocates say they are beginning to look to civil courts and other FINRA alternatives to get erroneous customer complaints removed from their clients' online records.
May 1
