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Organization takes the case "to put a spotlight on a bank that may have engaged in misconduct more significant than Wells Fargo's."
February 9 -
The adviser used the money to fund his “lavish lifestyle,” including $1.6M for private jet services, according to authorities.
February 9 -
The decision landed just hours after the Department of Labor asked for the decision to be postponed while it complies with a Trump order to review the regulation.
February 8 -
The move is additional fallout from the president's memo to the Department of Labor to review the regulation and possibly rescind it.
February 8 -
FINRA chided the rep for following through on trading instructions received via email from bank employees without confirming the transactions with the customers.
February 7 -
Here’s what the president’s actions mean for advisers and firms.
February 6 -
"My expectation is that a lot of firms are going to continue installing a best-interest standard, regardless," said Brian Graff, CEO of the American Retirement Association.
February 3 -
President Trump’s order sparked reactions all over his preferred social media platform.
February 3 -
While a review will be undertaken by the Labor Department, the White House signaled that the president was expecting significant change.
February 3 -
Meanwhile, a prominent Republican congressman called on President Trump to delay the regulation's implementation.
February 2