Fidelity Fined $600K Over Employee Who Raided Stock-Plan Accounts
By Melanie WaddellThe firm failed to detect an associated person's conversion of $750,000 over eight years, FINRA said.
January 09, 2025
UBS Set to Settle Credit Suisse Tax Case: WSJ ReportsThe deal over tax evasion could come as early as this week, according to the paper.
January 09, 2025
Lincoln Financial Hit With Investor Lawsuits in State CourtThe plaintiffs say the company should have warned them earlier about problems with its variable universal life policies.
January 09, 2025
Mariner to Buy $292B Cardinal Investment AdvisorsThe deal will more than double Mariner’s assets under advisement to $550 billion within the next three months.
January 08, 2025
Edward Jones to Pay $17M Over Front-Load CommissionsThe firm charged some clients when moving A shares from brokerage to advisory accounts, 14 state regulators found.
January 08, 2025
What It Takes to Succeed in Advising Wealthy ClientsA webcast Jan. 15 will offer an expansive discussion of trends and challenges among the wealthy.
January 08, 2025
AllianzIM Launches Two 'Funds of Funds' Buffered ETFsThe two new exchange-traded funds offer a laddered approach comprising multiple underlying buffered funds.
January 08, 2025
FSI Names Board of Directors and Executive CommitteeThe advocacy group's board added four new members and elected five prior directors to leadership roles.