FINRA Fines Ex-Broker for Trades in Deceased Client's Account
By Jeff BermanThe broker was terminated by Insigneo Securities after it learned he continued to trade in an account after the had client died, according to FINRA.
April 05, 2021
UBS Must Pay $371K to Clients: FINRA PanelA FINRA arbitration panel ruled in favor of UBS clients, who alleged the firm's options-trading strategy exposed them to significant risks.
April 05, 2021
CFPB Proposes to Stop Foreclosures Through End of 2021The agency's plan is an attempt to give borrowers time to find ways to make payments once pandemic relief ends.
April 05, 2021
N.Y.'s Millionaires Face Tax Hikes in Proposed BudgetThe richest New York City residents would pay the highest combined state and city tax rates in the U.S., surpassing California.
April 05, 2021
Warren to Hold Hearing Next Week on Student DebtThis will be Warren's first hearing as chair of the Senate Banking, Housing and Urban Affairs Committee's Subcommittee on Economic Policy.
April 05, 2021
West Coast Is an Annuity-Suitability Update Desert: NAIC MapTexas is in the approval pipeline.
April 05, 2021
Friday Health Plans Rounds Up $160 Million in Funding: DealsSammons has acquired Beacon Capital. HMA has acquired Leavitt Partners.
April 05, 2021
Matthews Asia Merges Two Funds Due to Asset Overlap: Portfolio ProductsAlso, FTSE Russell is adding Chinese government bonds to its World Bond Index.