California
Get the latest news and insights on California's financial regulations, enforcement actions and litigation.
Jefferson National to Pay $150K Penalty Over Annuity Sales
By Melanie WaddellThe life insurer also will repay $14,000 to an 86-year-old consumer who purchased an annuity she didn't understand.
February 05, 2021
Lawsuit Alleges Broad Conspiracy on GameStop Trading RestrictionsInvestors are suing nearly three dozen defendants including Robinhood, Schwab, Apex Clearing and Citadel.
February 01, 2021
How Ace Stock Picker John Buckingham Reacted to GameStop SqueezeThe longtime value investor tells ThinkAdvisor some of his 2021 stock picks and discusses why he's optimistic now.
November 19, 2020
Kamala Harris' Former Policy Chief Gives Peek Into New White House PrioritiesDaniel Suvor, who worked with Harris in California, discusses what he expects to see on the next White House's to-do list.
April 07, 2020
How California's Privacy Act Impacts AdvisorsAdvisors doing business in the Golden State should review the many tasks needed to protect client information this year and next.