Florida
Get the latest on Florida's financial regulations, enforcement actions and litigation.
Yes, Homeowners Insurance Is Your Concern
By Forrest BroylesFor many high-net-worth clients, this has suddenly become the top financial headache.
May 25, 2023
Florida Adopts Reg BI-Friendly Annuity Sales Rule UpdateAdvocates fear a showdown with the SEC if more states don't step up soon to regulate fixed annuities.
May 18, 2023
First Command Sues LPL Over Alleged Advisor PoachingThe military-focused firm says LPL recruited three of its advisors and caused them to violate agreements.
May 05, 2023
Oppenheimer Ordered to Pay Another $14M Over Ponzi SchemeA FINRA arb panel ruled against Oppenheimer for a third time after clients were steered to invest in a sketchy fund.
May 04, 2023
Florida's DeSantis Swings Back at ESG With New LawThe new House Bill 3 could create complications for investment managers in a wide range of practices.
April 21, 2023
Ex-Morgan Stanley, Schwab Broker Arrested on Child Porn ChargesRandall Kiefer has been charged with 21 counts related to child porn.
December 29, 2022
Republicans Ramp Up Anti-ESG Campaign for 2023The political assault by the right is backed by former Vice President Mike Pence, as well as by the governors of Florida and Texas.
December 21, 2022
Will Your Client's Medicaid Trust Survive the Move to Florida?Strategies for preserving the family home must comply with state-specific laws if the client plans to move.