Ex-Edelman Advisor Sues Over Non-Solicitation Rules
By Dinah Wisenberg BrinThe financial professional contends that the provisions are void under California law.
August 23, 2024
Cash Sweep Clients 'Were Paid Peanuts': Ex-SEC CommissionerFormer SEC Commissoner Robert Jackson has partnered with a law firm to help underpaid brokerage customers.
August 23, 2024
RIAs Are Moving Fast to Offer HNW Services: SurveyA growing number are embracing family office services, investment banking and work on trusts, Raymond James research finds.
August 23, 2024
Powell Says 'Time Has Come' for Fed to Cut Interest RatesAt Jackson Hole, the Fed chair affirms expectations that officials will begin lowering borrowing costs next month.
August 23, 2024
Western Asset's Leech Leaves CIO Role Amid SEC, DOJ ProbesRegulators are looking into if some clients were favored over others in the allocation of gains and losses from derivatives trades.
August 23, 2024
Barclays to Pay Nearly $1.3M Over Fingerprint FailuresBarclays did not fingerprint any of its non-registered associated persons based in foreign locations, FINRA said.
August 22, 2024
Traditional Variable Annuities Join the Sales PartyVolume increased less than for most other types of annuities, but it rose 20%.
August 22, 2024
New Program Makes Installment Payments an Option for Medicare Part D EnrolleesThe plan is intended to spread the costs of prescription drugs over a number of months.