The Practice: Regulatory/legal issues
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June 13, 2018Regulator Presses Scottrade ProsecutionMassachusetts’ top securities cop files brief arguing for the case to be heard in state, not federal, court.No Comments
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June 13, 2018Advisors to Lobby Washington on Priority Regulatory, Tax IssuesCongressional focus on topics that impact advisors has shifted in the Trump administration.No Comments
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June 13, 2018New York Advisor Charged for Role in Alleged $5M Ponzi SchemeAdvisor allegedly also stole money from the estates of two deceased customers.No Comments
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June 12, 2018Commonwealth Hopes to Turn Heads with New RIA OptionsBroadening custody choices should make it easier to recruit, say experts.No Comments
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June 12, 2018Ex-Wells Fargo Rep Barred Over Alleged $800 Debit Card TheftFormer advisor allegedly took money out of a customer’s bank account without their knowledge.No Comments
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June 12, 2018Merrill Lynch Won’t Give Me My $160K, Says Broadway Actress ClientMassell has filed suit against the firm and her father, who had signed over the money to her.Last Comment: June 12, 2018
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June 12, 2018Wells Fargo $760M Team Lured to Raymond JamesBut Wells Fargo nabs a UBS advisor team managing $180 million.No Comments
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June 11, 2018Lobbyists Storm Capitol Hill Seeking Tougher Best Interest RegulationFPA is pushing lawmakers for tighter regulations for advisors.Last Comment: June 11, 2018
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June 11, 2018FA Guilty of Fraud Gets Big Jail Time and Multi-Million PenaltyThe advisor pled guilty to fraud and tax evasion.No Comments
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June 11, 2018Merrill Lynch and Wells Fargo Learn Tough Lessons from Discrimination SuitsAnd after a court-enforced period of policy changes finished, one wirehouse is continuing to voluntarily implement improvements.Last Comment: June 11, 2018
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