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Finra slaps Cambridge with $150,000 fine over UIT sales
NEWS REGULATION AND LEGISLATION JAN 02, 2020
Finra slaps Cambridge with $150,000 fine over UIT sales

Also censures firm, again, for not paying discounts to eligible customers

Almost 8 in 10 millennial investors put ESG first
NEWS INDUSTRY NEWS JAN 02, 2020
Almost 8 in 10 millennial investors put ESG first

Global study found 77% of this age group consider environmental, social and governance concerns more important than returns

Small RIA challenges Schwab’s TD Ameritrade acquisition
NEWS RIAS JAN 02, 2020
Small RIA challenges Schwab’s TD Ameritrade acquisition

New York’s BlackCrown files antitrust suit saying deal would decimate small firms

Oppenheimer to pay $3.8 million to customers over UIT charges
NEWS REGULATION AND LEGISLATION DEC 31, 2019
Oppenheimer to pay $3.8 million to customers over UIT charges

Finra also fines firm $800,000 for failure to supervise UIT rollovers

Promissory notes, Ponzi schemes top investor threats for 2020, says NASAA
NEWS REGULATION AND LEGISLATION DEC 24, 2019
Promissory notes, Ponzi schemes top investor threats for 2020, says NASAA

State regulators also see trouble in real estate, cryptocurrencies and social media investments

Credit Suisse censured, fined $6.5 million over trading supervision
NEWS REGULATION AND LEGISLATION DEC 24, 2019
Credit Suisse censured, fined $6.5 million over trading supervision

Finra and exchanges say firm’s clients generated more than 50,000 alerts

SEC charges California RIA with fraud in connection with radio show
NEWS RIAS DEC 20, 2019
SEC charges California RIA with fraud in connection with radio show

Agency says Keith Springer also tried to hide previous regulatory problems

Roughly a third of workers have tapped retirement accounts, survey finds
RETIREMENT RETIREMENT PLANNING DEC 20, 2019
Roughly a third of workers have tapped retirement accounts, survey finds

Transamerica study warns that 'leakage' from plans could threaten retirement

Merrill Lynch duo managing $270 million moves to Raymond James
NEWS BROKER DEALERS DEC 19, 2019
Merrill Lynch duo managing $270 million moves to Raymond James

Christopher Stanford and Matthew Douglas are joining the employee unit

Massachusetts charges insurance salesman with posing as investment adviser
NEWS INDUSTRY NEWS DEC 18, 2019
Massachusetts charges insurance salesman with posing as investment adviser

Ryan Skinner created scheme to have seniors liquidate securities to buy annuities