JPMorgan to Pay $920M for Manipulative Trading of Metals Futures, Treasuries
By Matt Robinson and Tom SchoenbergThe accord ends a criminal investigation in which six employees were charged with allegedly rigging prices of gold and silver futures over eight years.
September 28, 2020
State Securities Regulators See Spike in Unregistered Advisor CasesNearly 30 jurisdictions have enacted rules or legislation based on NASAA's model rule to help prevent financial exploitation of older investors.
September 28, 2020
SEC Sets Date for Reg BI, Form CRS RoundtableSEC and FINRA staff will discuss "initial observations" of compliance with the best-interest rules.
September 28, 2020
Political Odd Couple Carville, Matalin Share Their Election ForecastsThe strategists, married nearly 27 years, prognosticated what to expect from the first debate and who's likely to win the White House.
September 28, 2020
When a Conservative Retirement Portfolio Works: Morningstar's BenzSome retirees are well on track to reach their financial goals. Christine Benz asks: Why add more portfolio risk?
September 28, 2020
Barred Broker Arrested, Charged With FraudThe CEO of Concorde Group Holdings, based in Jersey City, was charged with securities and wire fraud.
September 28, 2020
9 Phrases to Get Prospects TalkingHere are some ways to help your soft sell when we get back to socializing, or even with potential clients.
September 28, 2020
Advisors React to Times Report on Trump's Tax ReturnsOne CPA said his biggest concern was that clients would ask: "How can I pay no taxes like Trump?"