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FINRA Sends 50 Potential COVID-19 Related Scams to SEC
FINRA’s National Fraud and Financial Crimes Detection Programs has sent 50 cases to the SEC involving potential fraud by public companies related to COVID-19. So reports Think Advisor. Read more...
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Regulator Calls for Bond Market Reform
Securities and Exchange Commission Chair Mary Jo White is proposing a host of reforms for… Read more...

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The Financial Industry Regulatory Authority has warned its member firms that claiming IRA are free… Read more...
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Raging Bull Market Creates Quandary for Advisors
While market bulls are understandably cheering the ongoing equity rally off of 2009 lows, the… Read more...

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Smart beta funds are one of the hottest trends on Wall Street and are generating… Read more...
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Retirement
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401(k) Providers Giving Misleading Advice
A recent Government Accountability Office report maintains that 401(k) providers… Read more...

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New Regs May Diminish Reverse Mortgage Appeal
The Department of Housing and Urban Development has changed principal… Read more...
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First Republic Advisor Exodus Leads Mainly to Morgan Stanley
Since the turmoil that seized the banking sector with the mid-March failure of Silicon Valley Bank, at least 21 advisors have left First Republic Bank, with 13 heading to Morgan Stanley. So reports AdvisorHub. Read more...
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$2.5B Minority Stake in Osaic Is Reportedly Up for Sale
Private equity group Reverence Capital Partners is courting suitors for a minority stake in wealth… Read more...

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Edward Jones Takes Step Toward Giving Advisors Discretion

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Merrill Lynch Headcount Ticks Up Despite BofA Cuts
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Advisor Pleads Guilty to Transferring Client Funds to Own Account

Saturday, 09 November 2013

Regulatory & Compliance

Michelle Lee Karn, who is a financial advisor based in Roseville, California, has pled guilty to committing fraud. So reports the Sacramento Business Journal.

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