JPMorgan to Pay Another $100M for Failing to Monitor Orders
By Sally BakewellThe bank failed to monitor billions of client orders between 2014 and 2021, the CFTC says.
May 24, 2024
How to Avoid the No. 1 Value Killer in Retirement PortfoliosPoor tax management can cost clients big time, Barrett Ayers of Adhesion Wealth says. Here's what he recommends.
May 24, 2024
New Health Insurance Suit Could Affect DOL Fiduciary Rule LitigationThe plaintiffs are questioning how well officials considered objections and analyzed the regulations' impact.
May 24, 2024
Will This Crypto Requirement Be Killed? — SEC RoundupCongress voted to repeal an accounting requirement that crypto assets be reported as liabilities. Will Biden approve?
May 24, 2024
Raymond James Taps New CFO as Leadership Shuffle ContinuesButch Oorlog will replace CEO-in-waiting Paul Shoukry; Bella Allaire also has a new role.
May 24, 2024
FINRA Suspends Rep for Violating Reg BI With L Bond SalesThe rep told a client to invest a large share of her assets in a speculative debt security, FINRA says.
May 24, 2024
Debate: Do State Auto-IRA Programs Benefit Taxpayers?One take: These accounts are no substitute for a federal mandate for businesses to offer reirement plans.
May 23, 2024
Carson Group Hits Back at Former Exec's LawsuitThe firm denied wrongfully firing Mary Kate Gulick after she complained about the handling of a sexual assault report.