Compliance/Fraud

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Finance Industry Tops China List Of Most-Wanted Graft Fugitives

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Forty of China’s 100 top overseas corruption suspects have taken refuge in the U.S. and the largest share of the most-wanted list -- 15 percent -- hail from the financial industry.

State Regulators Attack Brokers For Confusing Fee Disclosures

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The professional association representing state securities regulators attacked the brokerage industry Wednesday for confusing fee disclosures.

RJFS President: DOL's New Fiduciary Rule Better Than 2010 Proposal

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RJFS President Scott Curtis gave grudging support for the Department of Labor’s revamped fiduciary proposal.

TIAA-Cref, Other Investors Sue, Alleging $900M Fee-Driven Scheme By Schorsch

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A hidden scheme generated more than $900 million in managers’ fees and bonuses at American Realty Capital Properties, investors said in a lawsuit.

BlackRock To Pay $12M To Settle Fiduciary Duty Charges

by FA Staff

BlackRock Advisors agreed to a $12 million penalty to settle SEC charges that it failed to disclose a conflict of interest created by the outside business activity of a top-performing portfolio...

30 States Considering Laws To Fight Senior Financial Abuse

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Thirty states are considering new laws to heighten senior financial protection, according to a list compiled by National Conference of State Legislatures financial services analyst Heather Morton.

Study Gives More Evidence Senior Financial Fraud Is Underreported

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Allianz Life Insurance unveiled findings Monday buttressing the arguments of elderly activists that senior financial fraud is under reported.

Finra Starts Senior Help Line

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Finra has started a new help line for seniors 65 and over that can be useful for investors of all ages.

New Fiduciary Rule May Create E-Mail Problems For Advisors

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E-mail one client and you might be a fiduciary. E-mail two clients, and you might not be, says the DOL.

DOL Blasts Industry Fiduciary Studies

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The Department of Labor is blasting several industry-sponsored studies that claimed small investors would be hurt by a fiduciary standard for IRA accounts.

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