FINRA Bars Ex-LPL Rep for Taking Client Money to Pay Her Taxes: Enforcement
By Emily ZulzIn other enforcement actions, the CFTC ordered JPMorgan Chase Bank to pay a $65 million penalty.
June 21, 2018
South Africa Proposes Major Changes to Health Care SystemOne provision could ban the use of insurance brokers.
June 21, 2018
SEC's Clayton: Comment Period on Advice Standards May Be ExtendedHouse lawmakers questioned Clayton about the SEC's proposed best-interest rules.
June 21, 2018
Indexed Annuities Star in 5th Circuit DOL Fiduciary Rule OpinionThe ruling has (probably) killed the rule dead.
June 21, 2018
Royal Alliance to Buy Signator From John HancockThe move means that the independent broker-dealer, which is part of Advisor Group, could double its size.
June 21, 2018
How Ariel Uses Its Diversity as a Competitive Advantage: Mellody HobsonMore than half of Ariel's staff are women, and minorities are better represented than in most of the rest of the industry.
June 21, 2018
How the Social Security COLA Fails SeniorsA new report from The Senior Citizens League shows how the COLA has failed to keep up with rising expenditures.
June 21, 2018
Need to Vet a Vendor for Cybersecurity? You've Got HelpCo-op cleverDome's deal with 3PAS provides secure guidance in choosing an external vendor.