Ex-LPL Rep Suspended, Fined Over Trades in Deceased Client's Daughters' Accounts
By Melanie WaddellThe rep placed unauthorized trades once the accounts were funded with the proceeds from their father's estate, FINRA says.
November 19, 2025
Vanguard Makes, Then Corrects, Fee Errors in New ETF Filing: ReportThe filing showed "shockingly low" expense ratios on the firm's first active equity ETFs.
November 19, 2025
Fidelity, Centene Sued Over Alleged Excessive 401(k) Fees, Misuse of Forfeited AssetsFidelity’s recordkeeping services to the Centene plan created a conflict of interest, according to the complaint.
November 19, 2025
Barred Advisor Gets 3-Year Sentence for Bilking Friends, Relatives Out of $3MRobert C. Starnes, who took more than a dozen people's retirement savings, also must pay restitution.
November 18, 2025
Twin Advisors Found Guilty in $10M Fraud Against 100 VictimsOne of the brothers was convicted of obstruction of justice for trying to threaten victims and bribe DOJ officials.
November 18, 2025
eMoney Integrates FP Alpha Estate Planning CapabilitiesThe integration enables advisors to sync client data from eMoney directly into FP Alpha’s estate planning system.
November 18, 2025
Auto-IRA Bill to Be Reintroduced by Year-EndRichard Neal, a Democrat representing Massachusetts, floated a new version of the legislation early in 2024.
November 18, 2025
Dimensional Gets Green Light for Tax-Busting Vanguard DesignSome analysts anticipate a wave of new ETFs should other asset managers also get the regulatory nod.