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The firm allegedly settled a dispute with two customers on the condition that they would not oppose efforts to expunge the details of the dispute from the Central Registration Depository system.
June 13
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Robert W. Cook will replace Richard Ketchum, who announced his retirement last year.
June 13
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The firm, which acted as a custodian for a defunct RIA, allegedly failed to make material disclosures to clients regarding their accounts.
June 10
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With retirement accounts being affected by the upcoming fiduciary rule, many advisers aren’t sure what their first step should be.
June 10
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One recommendation takes aim at the home loan tax deduction — in some cases.
June 9
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The regulator cited security oversights that led to the theft of thousands of customer accounts.
June 8
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The nontraded REIT industry moved to introduce a new share class following tighter regulations.
June 8
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The regulator also says that the firm suffered from supervisory failures during a four-year period.
June 8
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The new regulations are “arbitrary and capricious," a trade organization asserts.
June 7
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Richard W. Davis also took $1.5 million in fees while he was entitled to just $150,000, the commission alleges.
June 6
