Rep Suspended for Execessive Trades in Senior Clients' Accounts, Violating Reg BI
By Melanie WaddellThe Spartan Capital rep made the trades in the accounts of two 66-year-old clients, leading to significant losses.
August 12, 2025
Ex-Banker Convicted of Murdering BofA ExecAnthony Duwayne Turner was found guilty of murder, rape and burglary in Michelle Avan's slaying in Southern California.
August 12, 2025
8 Newly Overvalued Stocks: MorningstarThe latest list of expensive stocks includes a popular car maker and an electronic components producer.
August 12, 2025
Recruiting Deals Offer More Than Money, But the Money's Really Good, TooThere’s a rush to get the assets of longer-tenured advisors before they get locked up in a sunset package.
August 12, 2025
3 Ways to Make Asset Transitions That Help Your Clients and Your BusinessHow assets are transitioned can make the difference between client satisfaction and client turnover.
August 12, 2025
Schwab Faces Cash Sweeps Suit Alleging Elder Financial AbuseThe complaint is among many accusing firms of paying unreasonably low interest on cash sweep balances.
August 12, 2025
SEC’s Peirce Says Market Will Sort Out Winners in TokenizationBut some groups have recently called for a cautious and deliberate approach on tokenization.
August 12, 2025
Trump May Allow Lawsuit Against Powell Over Fed RenovationThe renovation work has become a flashpoint in Trump’s pressure campaign against Powell for not lowering borrowing costs.