The firm says a summer intern who was turned down for a full-time position sent harassing messages that led it to close its Atlanta office for two days in January.

The proposed regulations involve provisions of the SECURE 2.0 Act, including auto enrollment in 401(k) and 403(b) plans, and the Roth IRA catchup rule.

Michael and David Sztrom, who settled fraud allegations with the SEC in 2022, contend the regulators' "follow on" attempt to boot them from the industry violates their constitutional rights.

Republicans broadly agree that there's little room for error on what is a rare opportunity for the GOP to update the Tax Code without having to make any concessions to Democrats.

Edward Jones stood accused of not properly supervising advisors who were charging clients commissions for mutual funds and then moving the fund shares over to fee-generating accounts.

The Treasury Department and the Internal Revenue Service released final rules for the Clean Electricity Investment and Production Tax Credits in Sections 45Y and 48E of the Tax Code.

Johnson said the massive bill would address issues such as border security, including money for the mass deportations of undocumented immigrants; and an extension of the 2017 Trump tax cuts.

The "model rule" for state regulators is meant to help clients distinguish between advisors who earn management fees and brokers who collect transaction-based commissions.

A FINRA arbitration panel sided with a claimant who contended Wells and one of its advisors should have recognized telltale signs of elder fraud when their client decided to give away tens of thousands of shares of Aflac stock.

The tax-efficient, low-cost funds may have an even greater advantage over traditional mutual funds due to the IRS's lack of a definition for "substantially identical" securities.