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A former LPL broker accused of diverting clients' funds for his personal expenses has been ordered by a federal judge to pay more than $1.9 million in civil sanctions.
Sweeping changes by regulators on the credit-rating industry will force firms to disclose more about their methods and prove analysts aren’t pressured to issue bond grades that please Wall...
The Finra Enforcement Department has asked that a Pennsylvania broker repay $2 million in ill-gotten commissions.
The SEC has adopted new rules for asset-backed securities and credit-rating agencies that should make bond ratings more reliable and pensions more secure.
A former First Command financial advisor pled guilty to liquidating clients' accounts using electronic signatures.
Citigroup will also return more than $638,000 to customers after its securities unit failed to get the best prices for about 22,000 preferred securities trades over more than three years, Finra says.
An assistant DOL secretary says regulations or guidance may be needed to protect participants in 401(k) plans that allow investing in virtually all a brokerage has to offer.
Retail, heath-care and financial services company stocks are the most vulnerable to losses because of cybersecurity problems, said a principal at PricewaterhouseCoopers.
SEC Investor Advocate Rick Fleming is calling for municipal bond market reforms.
Triad Advisors has a new platform to assist fee- and commission-based independent financial advisors with regulatory and compliance issues.
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Portfolio Manager Insights
The pace of change is more rapid than it has been in the past few decades, which is causing disruption that impacts advisors' work and compensation. + Read more
No other book describes the psychology and pain of financial manias as well as this one, written by a film critic who fell into the 2000 tech speculation abyss, says Nick Murray. + Read more