Latest Issue Cover
Home » Financial Advisor » FA Online » Channels » YOUR BUSINESS » Legal & Compliance

Legal & Compliance

[1]  1 2 3 4 5 6 7 8   [297]

SEC's Market Surveillance Tool Called Unconstitutional In Texas Lawsuit

by ,

The suit accuses the agency of "dystopian surveillance" of U.S. trading activity.

Morgan Stanley Downplays Regulator Queries Into Wealth Management Clients

by

The inquiries focus on a wealth management arm that has swelled into Morgan Stanley's biggest business.

Brokerage, Annuities Industries Make Last-Ditch Effort To Delay DOL Fiduciary Rule

by

The groups, arguing the proposal has been rushed, asked government officials to get more public input.

IAA Wants Low-Risk Advisors Excluded From Money Laundering Proposal

by

The Treasury Department has proposed a rule requiring all SEC advisors to have anti-money-laundering programs.

J.P. Morgan Ordered To Pay Broker $250K In Defamation Case

by

A Finra panel sided with a broker who claimed the firm defamed him in a Form U5 filing.

5 RIAs Fined $200K For Violating Marketing Rules, SEC Says

by

The SEC has now penalized 14 registered investment advisors in its crackdown on marketing infractions.

Morgan Stanley Drops On Report Of U.S. Probes Into Wealth Unit

by

The investigations are looking at the bank's efforts to prevent money laundering, according to published reports.

Final DOL Rule Draws Near As OMB Completes Review

by

Observers say the Biden administration is moving swiftly to prevent Republicans from overturning the rule in a new Congress.

Finra Arbitrators May Be Mishandling Broker Defamation Claims, SIFMA Says

by

The securities industry group wants Finra to reform how it handles broker termination disputes.

Advisors Leaning More Into Technology, According To Orion Survey

by

Only 10% of respondents said they have all the tech they need.

You Can't 'Legislate Good Behavior': What Advisors Really Think About The DOL Rule

by

Few in the advisory industry view the fiduciary proposal as a cure-all.

Advisor Scores Restraining Order Victory Against Hightower

by

Ex-Hightower advisor Lars Knudsen got a restraining order after accusing the firm of poaching his clients.

Edelman Explains Why The Days Of Advisor Poaching Are Here

by

Meanwhile, Mariner's CEO sees advisors missing a huge opportunity.

Commonwealth Hit With $93.3M Judgment Over Revenue-Sharing Conflicts

by

The SEC said the firm's revenue-sharing agreement made mutual funds more costly to clients.

JPMorgan Client Who Lost $50 Million Fortune Faces Court Setback

by

Peter Doelger and his wife sued JPMorgan over investments they allege never should have been allowed.

Morgan Stanley Lawsuit Alleges Former Rep Is Stealing Clients

by

The firm is seeking a temporary restraining order against a former rep at its Newport News, Va., office.

Fiduciaries Should Have 'Little Difficulty' Complying With DOL Rule, CFP Board Counsel Says

by

CFP Board General Counsel Leo Rydzewski also feels the DOL fiduciary rule can withstand a court challenge.

How Insurance Agents Can Ascend Under The New DOL Rule

by

The DOL has provided insurance agents with an opportunity to advance the practice of retirement income distribution planning.

Former Indiana Advisor Gets 4 Years For Stealing $4.6M From Client

by

Christopher Turean used his client's money to gamble on sports and pay off a home equity loan.

Reg BI Client Claims Double In 2023 As Finra Arbitrations Jump 12%

by

One securities attorney said to expect more client complaints based on Reg BI standards.

[1]  1 2 3 4 5 6 7 8   [297]