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A financial advisor at another firm says he was promised a lower mortgage rate at Bank of America if he deposited money into his Merrill Edge account.
February 27
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Firms can expect scrutiny of their compliance with the regulator's Custody Rule, compensation and account placement.
February 19
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Between the SEC's proposed Regulation Best Interest and developing state rules, advisors and brokers may have their hands full.
February 14 -
A handful of states are pushing their own advisor regulations, potentially setting up a legal showdown.
February 4
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The senator’s presidential ambitions are becoming another headache for the Wells Fargo CEO.
January 30
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The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.
January 4
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The SEC is running on a skeleton crew that effectively halts routine oversight.
January 3
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The regulator accuses her of misconduct; she says the agency is doing Morgan Stanley’s bidding.
December 27
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Tim Sloan is finishing a year in which the Federal Reserve told the bank to stop growing, scandals emerged in more divisions, and the stock tumbled 25%.
December 27
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The alleged supervisory lapses occurred over a five-year period, according to the regulator.
December 26
