by
Tracey Longo
The agency is getting more strict about what it considers an investment recommendation, attorney Fred Reish says.
by
Christopher Williams
Telos Investment alleges Hightower breached its contract and poached its clients to inflate its potential sale price.
by
Tracey Longo
The embattled firm promised interest payments on crypto assets it borrowed before the crypto collapse of 2022.
by
Tracey Longo
The lawsuit is part of an ongoing GOP campaign against ESG initiatives.
by
Tracey Longo
Even AI engineers have a problem conveying how the technology works, the regulator said.
by
Tracey Longo
A trade group coalition wants to restore a rule implemented in 2021.
by
Christopher C. Williams
The increase was directly tied to client complaints arising from the 2022 market slump, the company said.
by
Jeff Stimpson
Spouses can argue they had nothing to do with their partners' tax misdeeds, but it's not easy.
by
Chris Dolmetsch
At least one of the suits is requesting that a judge block the deal until the issues are resolved.
by
Tracey Longo
Schwab, Fidelity and financial industry trade groups said the move is long overdue.
by
Tracey Longo
Julie Su's work to limit independent contractors has drawn criticism from advisor groups.
by
Tracey Longo
State regulators filed three times the enforcement actions against RIAs as brokers, NASAA reported.
by
Christopher Williams
The former Hightower advisor argues that the clause is "illegal" and "unenforceable."
by
Tracey Longo
The company said in its annual report that the details of the fine are still under discussion.
by FA Staff
Kristi Berge falsely told clients she was investing the money in retirement accounts, prosecutors said.
by
Upmanyu Trivedi
Ashley said the bank acted unfairly during a margin call.
by
Tracey Longo
The chairman of the Finance Committee says the policies aid tax avoidance.
by
Tracey Longo
The exemption would be granted to salespeople who do not present themselves to clients as advisors, he said.
