InvestmentNews

InvestmentNews
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NEWS REGULATION AND LEGISLATION FEB 28, 2018
Finra restitutions more than doubled in 2017, disciplinary actions study finds

Eversheds Sutherland says regulator imposed fourth highest total sanctions over past decade

INVESTING EQUITIES FEB 26, 2018
Fidelity may rein in star stock pickers

Firm considering move to team management approach, says Wall Street Journal.

NEWS WIREHOUSES FEB 26, 2018
Ex-Wells Fargo rep barred and arrested for ripping off elderly

Authorities say Jeffrey Palish's misdeeds against elderly clients netted him anywhere from $180,000 to $600,000.

INVESTING FIXED INCOME FEB 26, 2018
Finra panel awards five UBS clients $521,000 in damages over Puerto Rican bonds

Puerto Rican residents charged the firm with fraud and breach of fiduciary duty.

YOUR PRACTICE FINTECH FEB 23, 2018
Lori Hardwick joins Riskalyze board

Executive is former Pershing COO and group president at Envestnet

NEWS REGULATION AND LEGISLATION FEB 22, 2018
Merrill Lynch and rep to pay $140,000 to Vermont for unauthorized actions

Broker Lawrence Barber made unauthorized changes to client's account, state charged

NEWS RIAS FEB 22, 2018
SEC charges Strong Investment Management and owner with 'cherry-picking' trades

Says Yorba Linda, Calif.-based RIA allocated profitable trades to owner, losers to clients.

NEWS INDUSTRY NEWS FEB 21, 2018
Court orders wife of Massachusetts adviser to disgorge $518,000

Although not charged, Shawnet Thibeault had received funds from fraud: SEC.

NEWS REGULATION AND LEGISLATION FEB 20, 2018
Finra orders Hilliard, Lyons and rep to pay $445,000 in compensatory damages

Says firm and broker Christopher Duke Bennett mishandled retirement accounts.

RETIREMENT RETIREMENT PLANNING FEB 20, 2018
Growth in Health Savings Accounts may have stalled, says EBRI

Many accounts are unfunded and not receiving contributions, group finds.