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Legal & Compliance

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Philly Area Father-Son Team Wins $500K From Woodbury For Defamation

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The firm had said the two failed to get authorization for Allianz annuities, but a Finra panel disagreed.

JPMorgan Seeks Restraining Order Against Former Rep

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The firm alleged a former broker violated non-solicitation agreements by recruiting 39 households worth $19 million.

What To Do About Financial Advisors In Cognitive Decline

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Most firms are unprepared for the potential mental deterioration of their key professionals.

Schwab Urges DOL To Withdraw 'Ill-Fated' Fiduciary Rule

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The proposal is flawed and destined to be struck down by the courts, the company's general counsel argued.

Broker Awarded $950K After Claiming Co-Workers 'Stole' His Business During Mental Illness

by FA Staff

Matt Smith alleged his business associates undertook a “hostile takeover” as he battled bipolar disorder.

N.Y. Broker-Dealer Tries To Shut Down Utah Couple's Finra Complaint

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Two investors say they lost $2 million in cannabis investments, but PKS asserts it wasn't involved.

Finra Moves To Tighten Rules On Loans Between Brokers And Clients

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The rules would increase prohibitions on broker-dealers loaning money to and from clients.

Industry Groups Predict DOL Rule Will Fail Again In Court

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The agency is merely repackaging its vacated 2016 fiduciary rule, the Financial Services Institute argued.

DOL Annuity Rule Proposal Helps Investors Guard Against Conflicts, Proponents Say

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Supporters of the rule weighed in on the last day to offer public comments.

BofA Sued Over Alleged Conflicts In Washington Commanders Investment

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Billionaire investor Robert Rothman claims the bank improperly represented him and the team at the same time.

SEC's Ambitious Climate Agenda Stalls As Elections Raise Stakes In New Year

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The SEC has yet to finish a mandate for public companies to disclose their environmental footprints.

LPL Penalized $6 Million For Securities Violations, Finra Says

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The broker-dealer failed to supervise reps on certain transactions and misled customers about fees, Finra said.

Former Morgan Stanley Broker Barred For Alleged Client Asset Theft

by FA Staff

Gary Chang of California stole more than $58,000 from four customers, the SEC said.

SEC Payouts To Whistleblowers Plummet Despite Record Surge In Tips

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The agency received 50% more tips in the fiscal year ending Sept. 30 than a year earlier.

Insurance, Annuity Industry Wants Exclusion From Mass. 'Junk Fee' Rule

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The industry is arguing that the proposal conflicts with the underwriting process.

Ex-Texas Broker Gets 20 Years For Child Sex Assault

by FA Staff

Gregory Frank Estes was described in news reports as a prominent figure in the San Angelo community.

Maryland Advisor Pleads Guilty To Leaving Elderly Client Destitute In $1M Fraud

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Eddy Blizzard drained his client's retirement savings over a six-year period.

Citi Suit Raises #MeToo Allegations At Wall Street's Top Levels

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The lawsuit challenges the bank's efforts to present a picture of greater gender equality.

Finra Bars N.J. Broker Over Outside Business Practices

by FA Staff

Anthony J. Cantone has in the past been sanctioned over muni-bond offerings.

Anti-Money-Laundering Rules In Works For Advisors, Treasury Says

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The rules would impact hedge funds, private equity managers and certain other advisors.

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