New York
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Stifel Named in Civil Case Against Advisor Charged With Strangling Girlfriend
By Jeff BermanThe firm neglected its duty of care to the girlfriend, who was a client, according to the lawsuit.
August 30, 2023
Ex-Morgan Stanley Exec Says He Was Fired for Being WhiteIn a lawsuit, Kevin Meyersburg alleges that the wirehouse replaced him with a less-qualified Black woman.
August 11, 2023
Ex-LPL Broker Gets 4 Years in Prison for Raiding Older Clients' AnnuitiesOne affected client had dementia and another had suffered a traumatic brain injury, according to the Justice Department.
August 01, 2023
Ex-Cetera Advisor Charged With Defrauding Older Client Out of $2.4MThe SEC also alleges the advisor liquidated the client's holdings and transferred the proceeds to her own accounts.
July 27, 2023
Twin Advisors Indicted on Fraud ChargesAdam and Daniel Kaplan are accused of bilking at least 60 clients out of at least $5 million.
July 18, 2023
Offering Multiple Product Versions May Discriminate, N.Y. Official WarnsAdrienne Harris, the state's superintendent, said insurers have to make their product menus fair.
July 10, 2023
New York Close to Fixing State's Charitable Gift Annuity GlitchYour Empire State clients might have an easier time doing well by doing good.
June 08, 2023
New York Regrets How It Regulated Long-Term Care Insurance RatesOfficials say they want to keep the issuers solvent and revive the LTCI market.