Camardas Appeal CFP Board Case to Right ‘Grave Wrongs’
"The welfare of the profession, and of the client public” are hanging in the balance, the Camardas say.
Sen. Warren Floats Bill to Stop Credit Checks by Employers
The Equal Employment for All Act would prohibit employers from requiring potential employees to disclose their credit history when applying for a job.
Ex-Morgan Broker Loses Fight With FINRA Over ‘Forgivable’ Notes
Breakaway broker Nick Ragone, who claims “FINRA colludes with firms,” is livid over a ruling on $400,000 in bonus promissory notes.
Puerto Rico Agency Poised to Default on $58 Million Payment
Officials are pushing for what may be the biggest restructuring ever in the municipal market.
‘Dissident’ Candidate Elected to FINRA Board
Brian Kovack campaigned on the need to reform FINRA's arbitration process, exams and registration disclosures.
Fidelity National Said in Exclusive Talks to Acquire SunGard
The current SunGard deal is valued at $8.3 billion, down from its $11 billion price tag in 2005.
For the Wealthy, It’s Hard to Find Good Help
Family offices are hiring household help for high-net-worth clients — but should they get involved?
SEC, FINRA Enforcement: Ex-Oppenheimer Employees Fined in Penny Stock Case
Meanwhile, FINRA fined Global Strategic Investments LLC for suspicious Venezuelan bond activity.
ABLE Act Passed, but Many Questions Remain
For states deciding whether to host or contract a qualified disability savings account program, there’s a lot to consider.
Top 10 Best-Funded State Pensions: 2015
Only two states have fully funded pension plans, according to Pew data.