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Legal & Compliance

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Hightower Sues Seattle Advisor, Says It Colluded With Ex-Employee To Steal Clients

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The lawsuit is the latest chapter in an ongoing legal battle between Hightower and one of its former advisors.

Financial Industry Holding Its Breath On Next SEC Chief

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SEC Chairman Gary Gensler hasn't given any hints on whether he'll step aside with the coming of Donald Trump.

Ex-Managing Director Ravich Sues TCW Over Firing ‘For Cause'

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TCW sued Jess Ravich earlier this year, alleging his sexual misconduct has cost the firm millions of dollars.

Osaic's B-D Fined $250K For Trading In Dead Customer's Account: Finra

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A broker reaped commissions from a 91-year-old woman's account for six months after her death, Finra said.

SEC Bars Advisor Who Allegedly Lied To Clients About His Firing

by FA Staff

Sean Kane of Philadelphia also impersonated clients to access their accounts and conduct transactions, the agency said.

BofA Compels U.S. Staff To Take Workplace Disputes To Arbitration

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The new BofA rule doesn't apply to sexual harassment and assault claims.

Invesco Fined $17.5M For Misleading Investors On ESG Assets, SEC Says

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The company exaggerated the level of fund assets devoted to ESG strategies, the regulator said.

Georgia B-D To Pay Clients $2M For Unsuitable ETN Sales, Finra Says

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The firm and its former president didn't understand the products, the regulator said.

SEC Chair Gensler Likely To Resign After Trump Election, Observers Say

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Trump would likely upend leadership at the SEC and Department of Labor and eliminate more regulations than before.

Ex-RBC Advisor Awarded $9.7M In Age, Sex Discrimination Claim

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Her attorney said the Finra arbitration panel award was the largest ever for an advisor in Minnesota.

Apollo's Race Toward Private-Credit ETFs To Face SEC Scrutiny

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The novelty of private-credit ETFs and liquidity issues have alarmed investor advocates.

Sifma Says CFP Board Has Become A 'De Facto Regulator'

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The securities industry group accused the board of collecting firms' proprietary information from its certificate holders.

JPMorgan Agrees To Pay $151M For Fiduciary Failures, SEC Says

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The SEC complaints covered a range of issues, including Reg BI violations and unreported conflicts of interest.

Florida Man Who Posed As Advisor Targeted Serbian Community, SEC Says

by FA Staff

Dusan Varga illegally raised $1.6 million from 20 investors, the regulator alleged in a lawsuit.

Rollovers And The Fiduciary Duty

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To help retirement savers with rollovers, advisors must work closely with their compliance departments.

Elizabeth Warren Presses DOJ On Accountability Of TD Executives, Charges

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She wanted to know why executives weren't charged over the lender's failure to prevent money laundering.

Ex-JPMorgan Advisor Agrees To Temporarily Halt Client Poaching

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Gary Carruthers agreed to temporarily stop soliciting clients from his former book worth north of $250 million.

SEC Bars Phoenix Advisor For Alleged Cherry Picking

by FA Staff

Raymond DiMuro gave favored clients more than $1 million in profits, the SEC said.

Finra Suspends Ex-Broker 3 Months Over GPB Partnership Sales To Seniors

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Christopher J. Shaw is the latest rep to face enforcement for allegedly pushing the risky investments.

Hightower Drops Pursuit Of Injunction Against Former Advisor

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The company said it will pursue its claims of non-compete violations against Lars Knudsen through arbitration.

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