State Securities Regulators Report Tripling of Digital Asset Enforcement Actions
By Melanie WaddellRegulators also reported almost twice as many cases involving self-directed IRAs in 2020 as a year earlier, according to NASAA.
October 01, 2021
LPL Failed to Vet Client, Allowed Fraudulent Wire Transfers: SECThe client misappropriated $3 million from a Puerto Rican city after opening an LPL account, the SEC says.
September 30, 2021
Sen. Warren Revives Bill to Rein In Bank MergersThe Bank Merger Review Modernization Act would restrict what Warren says is harmful consolidation in the banking industry.
September 30, 2021
SEC Proposes New Disclosures on Asset Managers' Proxy VotesThe proposed rule would require mutual funds and ETFs to disclose fund votes on shareholder proxies.
September 30, 2021
Another Reason Advisors Are Warming to AnnuitiesAdvisors are also using annuities because they're making little or no money on bonds, a DPL Financial Partners survey found.
September 30, 2021
Class-Action Suit Over Allstate 401(k) Plan Can Go ForwardA judge has dismissed a motion to drop a suit against Allstate and its plan fiduciaries for mishandling 401(k) management choices.
September 30, 2021
Average 2022 Medicare Advantage Premiums Fall 10%The average monthly premium for a Medicare Advantage health plan will fall to $19 per month in 2022 from $21.22 this year.
September 30, 2021
David Komansky, CEO Who Led Merrill's Global Growth, Dies at 82The sale of Merrill to Bank of America in 2008 "broke my heart," Komansky said in a 2010 interview with Bloomberg Television.