Regulators impose penalties over auto, mortgage lending issues.
Adviser claims he was kicked off custodian's platform because of his political views.
We sifted through the nearly 1,000-page proposal and picked out some of the most important points.
The firm allegedly used high-cost, underperforming index funds in its hybrid target-date funds.
Selecting a very conservative benchmark is generally permissible under retirement law.
Some say the rule will clear up investor confusion, but others say the SEC didn't go far enough.
Required policies, procedures give the regulator a way to gauge brokers' follow through on mitigating conflicts.
FSI member Bradley Brown spent years lobbying the Ohio legislature for reforms in the state's rules on UTMA accounts.
The proposed rule puts new restrictions on brokers, but it is still unclear how strongly the SEC is clamping down.
Trade groups are champing at the bit to have their say in response to the SEC hearing.
Commission says a lot of work ahead, public will have 90 days to comment.
Chairman Jay Clayton will initiate momentous action Wednesday, as the commission meets to debate a rule on broker and adviser standards.
Chances of getting sued are more common now than five years ago, says one lawyer.
Steven Pagartanis, a hearing no-show, had been discharged by Lombard Securities.
Exam priorities and lawsuits are zeroing in on account switching.
Finra also suspends Mina Mishrikey for three months
Ponzi-scheme operator Daniel Glick agreed to help recover investor assets from Israel.
Lawsuit also names Financial Engines and Alight, both providers of financial advice to the plan.
Firm had filed a lawsuit against Ryan C. May, alleging he was soliciting old clients in violation of his employment agreement.
Regulator to meet April 18 to consider three-part plan that includes disclosure document, broker standard, adviser-standard interpretation.
