The Practice: Regulatory/legal issues

• April 3, 2019

  Ex-BoA Employee Suspended Over Expenses

  The employee allegedly improperly altered receipts on car trips for reimbursement from the bank.

  Last Comment: April 3, 2019
  1 Comment
• April 3, 2019

  How Merrill Beat an Investor Claim of Contract Breach

  A long-time Finra critic has hailed the arbitration proceedings as effective and comprehensive.

  No Comments
• April 3, 2019

  Wells Fargo Has These Three Women on Short List for Top Job: New Reports

  All three are outside executives yet the firm has a history of hiring from within.

  No Comments
• April 3, 2019

  House Committee Approves Sweeping Retirement Savings Bill

  While the bill offers a number of small tweaks, the overall effect of the SECURE Act will be significant, experts say.

  No Comments
• April 2, 2019

  Wells Fargo's Interim Boss Brings Lawyer's Mentality to Bank with Pressing Legal Concerns

  The interim Wells Fargo CEO was also mentored by Morgan Stanley's vice chair.

  No Comments
• April 1, 2019

  RIA Principal Barred Over Alleged $3 Million Theft

  Owner of RIA allegedly used the money on personal expenses and keeping his company afloat.

  No Comments
• April 1, 2019

  UBS Courtroom Loss May Be Far-Reaching for Sunset Deals

  The case focuses on how compensation is characterized.

  No Comments
• April 1, 2019

  Raymond James Nabs Complex Director from Morgan Stanley

  Also: UBS, Merrill Lynch, LPL and more ...

  No Comments
• April 1, 2019

  House Committee Introduces Sweeping Retirement Legislation

  The bill also revives an income-stream provision that fund giants have slammed for giving the government’s "imprimatur" to annuities.

  No Comments
• March 29, 2019

  E*Trade Slaps Morgan Stanley Breakaways with Injunctions

  Three employees have been accused of illegally taking client information or trade secrets.

  Last Comment: March 29, 2019
  1 Comment