The Practice: Regulatory/legal issues
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March 29, 2019Ex-Vanguard Broker Fired for Watching YouTube Loses Finra ArbitrationBroker failed to show up for hearings for the expungement claim that he himself filed.No Comments
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March 29, 2019Cuso Financial Hit with $500K SuitThe claim is tied to a former Cuso financial advisor accused of selling away.No Comments
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March 28, 2019Ex-Employee Claims Unique Defense Against Morgan Stanley's Ironclad Arb AgreementAn email to 15,000 employees has so far held up as enough to force staff into arbitration.No Comments
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March 28, 2019Former UBS Broker Gets a Year in Prison over Puerto Rico Bond SalesJose Ramirez will be the first among UBS Puerto Rico staff to serve jail time in the scheme.Last Comment: March 28, 2019
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March 28, 2019Whistleblowers Involved in JPMorgan Conflicts of Interest Case Awarded $50 MillionOne of the whistleblowers was a JPMorgan executive at the time of its alleged wrongdoing, his lawyer tells the Wall Street Journal.No Comments
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March 28, 2019Bill Threatens Timing of SEC Reg BI FinalizationThe law would require the SEC to conduct investor testing for all relevant SEC rules.No Comments
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March 28, 2019NBA Star Launches RIA For Sudden Wealth RecipientsTroy Murphy wants to give the advice he never had.Last Comment: March 28, 2019
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March 27, 2019"Give Us More Red Tape!" Opportunity Zone Investors Implore IRSInvestors are crying out for more regulation in this new and opaque area.No Comments
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March 27, 2019Lobbyists Ask SEC to Let B-Ds Charge Clients Separately for ResearchSifma says the change is necessary following the implementation of Mifid II in the European Union.No Comments
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March 27, 2019RIA Charged Over $11 Million in Overcharges in Private FundsThe firm allegedly inflated its returns and overcharged management and performance fees.No Comments
