RIA Fined for Charging 81 Clients Without Providing Services
By Jeff BermanThe clients stopped receiving advisory services after their original advisors left the firm, the SEC said.
September 29, 2021
Fight Over Medicare Advantage Patient Health Scores Heats UpAn insurer group says cracking down too hard on score creep would drive up monthly premium bills.
September 29, 2021
12 Cheapest States for Prescription DrugsAmericans 65 and older spent an average of $7,554 on prescription drugs last year, according to MedicareGuide.
September 29, 2021
FINRA Plan Sets Annual Fee for CE RequirementsThe fee would apply to members who take CE to remain qualified for up to five years after their registration is terminated.
September 29, 2021
Top 15 Most Expensive Colleges and Universities: 2021A study looked at the typical salaries of these schools' graduates.
September 29, 2021
Many With Guardians Have 'Britney Spears' Problems, Witnesses Tell CongressA Texas consultant said guardianship courts need helping getting the Social Security Administration to listen.
September 29, 2021
'Wild West' of ESG Ripe for a Crackdown, Veteran Investor SaysTrillium's Matt Patsky can't wait for tougher regulations to stamp out the false claims by fund managers in the $35 trillion industry.
September 29, 2021
DOJ, SEC Charge Ex-Advisor With Bilking 3 Older ClientsThe ex-broker used the money to pay for luxury cars, vacations, private school tuition and a gold necklace, according to the authorities.