Banks, Broker-Dealers Poised for a 'Terrific' 2017
Dick Bove and other analysts are bullish on large financial companies, and their BDs, for a host of reasons.
Hoping for a Regulatory Miracle
Many advisors would love some common sense to be exercised in 2017 with respect to the DOL's fiduciary rule.
FINRA Awards Rep $417,000 Over Firing
A regulatory panel ruled that Southwest Securities wrongfully fired and defamed Kimberly Rose.
Department of Labor’s 2016 by the Numbers
A changing administration portends a change in direction, but here’s how the DOL did in 2016.
Ex-Rep, Radio Host in Texas Arrested for $6M Fraud
The charges against Bobby Eugene Guess include theft and money laundering tied to a Ponzi scheme.
FINRA Fines Deutsche Bank $3.25M for Deficient Disclosures: Enforcement
FINRA also fined Allstate Financial Services $1 million for failing to supervise certain communications and transactions.
Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers?
Chairwoman White’s departure may not end the Enforcement Division’s pursuit of minor violations.
Napoleon Is Dead! Wait, That's a Stock-Market Scam.
Financial markets have been dealing with hoaxes, frauds and fake news for a long time. The wrong response can be costly.
Lawyers for Wealthy Await Trump’s Estate Tax Plan
Despite Trump’s vow to end the tax, trust and estate professionals don’t appear panicked that a revenue stream is about to dry up.
With White’s Departure From SEC, Hopefully the Bullying Will End
Chair Mary Jo White is an extremely smart lawyer, but former prosecutors prosecute; too often, small firms were the victims of bullying by the SEC.