The Practice: Regulatory/legal issues
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November 20, 2018State Securities Regulators Want Tougher SEC Standard for BrokersThe North American Securities Administrators Association wants a fiduciary-like standard for brokers.No Comments
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November 20, 2018Grassley to Chair Senate Finance CommitteeThe Republican has served twice as chairman of the committee.No Comments
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November 20, 2018Goldman Sachs Faces Lawsuit from 15-Year Veteran FA After Alleged Discriminatory DismissalThe company allegedly dismissed the advisor while she was on maternity leave.Last Comment: November 20, 2018
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November 19, 2018Six-Year Prison Sentence for Former Financial AdvisorThe ex-FA has been convicted of stealing close to $170,000, which he apparently spent on vacations and cars.No Comments
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November 19, 2018Ex-Wells Fargo Rep Barred for Alleged Inaccuracies in His NotesThe wirehouse discharged the advisor in 2016 over the allegations.No Comments
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November 16, 2018Deluge of Lawsuits From Brokers Over Commissions Likely to Hit Ohio NationalLawyer says he doubts any of the brokers affected will give up their trailing commissions without a fight.No Comments
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November 16, 2018What a Democrat-Controlled House Means for TaxesThe 2017 Tax Cuts and Jobs Act might be re-litigated in the House Ways and Means Committee.No Comments
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November 16, 2018Multifamily Offices Join Forces to Serve Clients in Multiple JurisdictionsPhiladelphia-based firm has formed an alliance with a London-based office.No Comments
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November 16, 2018Ex-Merrill Lynch Broker Suspended Over “Prohibited” LoansBroker allegedly borrowed $250,000 from a client to remodel a new office space in anticipation of leaving the wirehouse.Last Comment: November 16, 2018
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November 15, 2018Illegalities of Pay History Interview Questions Prove Both Risk and Opportunity for AdvisorsYou can help your clients prepare for job changes whilst ensuring you're compliant in your own business.No Comments
