SEC, NASAA Issue Alerts on ESG Investing
By Bernice NapachRegulators are concerned that a lack of standards for ESG investing has led to policies and practices that can mislead investors.
April 13, 2021
Life Regulators Back Away From New Illustration FightThe NAIC is talking about working groups, race and COVID-19, and it posted its 2020 results.
April 13, 2021
JPMorgan Sues Ex-Advisor for Moving Clients to Wells FargoThe advisor has been calling former clients, with at least one reporting he was annoyed by multiple calls, JPMorgan says in the suit.
April 13, 2021
Ex-Schwab Client Arrested for Refusing to Return $1.2M Transferred by MistakeThe ex-client was charged with theft, bank fraud and illegal transmission of monetary funds, according to a news report.
April 13, 2021
Want to Delay Social Security? Buy an Annuity FirstEx-Social Security official Jason Fichtner gives ThinkAdvisor a suggestion for retiring clients who want to maximize their benefits.
April 12, 2021
Ex-Broker Fined for Not Disclosing Charges of Rape, False ImprisonmentThe former broker failed to timely amend his Form U4 to disclose the charges, FINRA says.
April 12, 2021
10 Ways to Be Politely PersistentHere's how to stay on your prospects' radar, without being annoying, until they're ready to do business.
April 12, 2021
Edward Jones Sued by Ex-Rep Over Sexual HarassmentA former advisor at the firm says a manager pressured her into "into a forced sexual encounter," according to court documents.