Fired Rep Says Wells Fargo Added Fake Investigations to His U5: Lawsuit
By Jeff BermanA Black advisor alleges Wells fired him, then amended his Form U5 when he reported discrimination.
June 29, 2023
New AI Tool Helps Advisors Offer Estate PlanningWealth.com's Ester legal assistant enables advisors to make estate planning more accessible, cost effective and scalable.
June 29, 2023
SEC Has No Way to Track RIA Arbitration Stats, Unpaid AwardsA report commissioned by Congress reveals "an informational black hole" surrounding RIAs' use of arbitration, an attorney says.
June 29, 2023
Will Climate Change Send Life Insurers' Real Estate Assets Up in Smoke?Or soak them. A Treasury office wants life and annuity issuers to think about that.
June 28, 2023
Raymond James Names New Head of Advisor Inclusion NetworksSamantha Trebesch will be head of the networks, which were led earlier by Renée Baker.
June 28, 2023
SEC's Fund Liquidity Plan Hurts Retirement Savers, Lawmakers SayThe "hard close" for trades in the proposal "limits Americans' ability to trade in mutual funds," lawmakers say.
June 28, 2023
Wood's Ark Adds Possible 'Silver Bullet' to Bitcoin ETF FilingThe language mimics a clause in BlackRock Inc.'s spot Bitcoin ETF filing, which landed roughly two weeks ago.
June 28, 2023
Ex-Merrill Rep Who Threw Smoothie Hit With FINRA Complaint on Cash TransactionsJames Iannazzo deposited and withdrew $568,440 in small increments to avoid bank reporting requirements, FINRA says.