SEC to Remove Regional Directors: Report
By Melanie WaddellThe SEC told directors across its 10 regional offices that their roles will be eliminated, Reuters says.
February 24, 2025
Advisor Tried to Threaten Witnesses, Bribe Officials in His Fraud Case: DOJAdam Kaplan told an associate to leave one victim "peeing blood / missing teeth," prosecutors say.
February 24, 2025
Equitable Agrees to Reinsure 75% of $32B in Individual Life Policies With RGAEquitable plans to handle policyholder relations and continue to write some life insurance.
February 24, 2025
Ameriprise 'Chasing Headlines' in Client Data Dispute, LPL ArguesThe financial services firm has taken to filing serial litigation against departing advisors, the latest filing says.
February 24, 2025
Robinhood Says SEC Closed Crypto Probe Without Any EnforcementThe firm said last year it had received a Wells notice, indicating an action was coming.
February 21, 2025
Senators Press Acting Social Security Head on DOGE AccessThey raised concerns that Musk and Trump had made false fraud claims as a pretense for benefit cuts.
February 21, 2025
Ex-Fugitive Advisor, CNBC Guest to Plead Guilty to Securities FraudJames Arthur McDonald Jr. caused investors to lose about $3 million, prosecutors say.
February 21, 2025
Advisors See M&A Surge in 2025: DeVoeGrowth is the chief motivator for sellers, whether they are considering a full exit or partial stake, a survey found.