Regulatory & Compliance (359)
Goldman Slapped with $7.6M Wrongful Termination Decision
- Thursday, 11 December 2014
- Regulatory & Compliance
- Written by PFA News
The Financial Industry Regulatory Authority (FINRA) has ruled that Goldman Sachs must pay former advisors Christopher Barra and Luis Sampedro $7.76 million over allegations of wrongfully termination. So reports FinancialAdvisor.
Read more...Advisors Disappointed with Technology and Compliance at Broker-Dealers
- Friday, 05 December 2014
- Regulatory & Compliance
- Written by PFA News
In a recent Wealth Management survey, relatively low ratings for technology and compliance bogged down advisors’ satisfaction levels with their traditional broker-dealers. So reports Wealth Management.
Read more...Investor Advocates Urge the SEC to Move Forward on Fiduciary Standard
- Friday, 28 November 2014
- Regulatory & Compliance
- Written by PFA News
A handful of investor advocates have sent a letter to the SEC urging the regulator to carefully, but expeditiously, move forward with developing a fiduciary standard for brokers. So reports Financial Advisor.
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- Consumer Federation of America
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- fiduciary standard
FINRA Continuing to Work on Recruitment Disclosure Requirement
- Saturday, 15 November 2014
- Regulatory & Compliance
- Written by PFA News
The Financial Industry Regulatory Authority is continuing to evaluate if it should require brokerage firms to disclose incentives that are used to recruit advisors from competing firms, says Richard Ketchum, chairman of the organization. So reports Reuters.
Read more...Market Conditions Provide Opportunity for Harvesting Capital Losses
- Sunday, 19 October 2014
- Regulatory & Compliance
- Written by PFA News
Individuals who lose money in equity investments this year may be able to use the losses to trim their tax bill. However, careful planning is required. So reports Thomson Reuters Tax & Accounting News.
Read more...SEC Commissioner Calls for Test Period for Advisor Disclosures
- Saturday, 11 October 2014
- Regulatory & Compliance
- Written by PFA News
SEC Commissioner Michael Piwowar wants the regulator to run a test program to determine what kind of disclosures investors find helpful when selecting financial advisors. So reports insurancenetnews.
Read more...Advisor Faked Famous Connections to Get Ahead: Prosecutors
- Saturday, 11 October 2014
- Regulatory & Compliance
- Written by PFA News
Arun Ganguly of the San Francisco area allegedly impersonated various entrepreneurs, including Facebook founders, to get ahead as an investment advisor, according to prosecutors’ presentations before a Manhattan criminal court judge. So reports the Daily News.
Read more...AXA Broker Scammed $1.5M from Clients
- Friday, 03 October 2014
- Regulatory & Compliance
- Written by PFA News
The United States Attorney’s Office has filed a complaint against former AXA Equitable Life Insurance Company agent Dennis Wright that alleges the Lewistown, Pa., resident used $1.5 million in clients’ assets for his own purposes. So reports insurancenewsnet.
Read more...PIMCO ETF Investigation is Separate from Industry-wide Probe
- Friday, 03 October 2014
- Regulatory & Compliance
- Written by PFA News
A Federal probe of the Pimco Total Return Exchange-Traded Fund is separate from an industry wide investigation of disclosures for ETFs. So reports Financial Advisor.
Read more...SEC to Pay Record Whistleblower Award
- Friday, 03 October 2014
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission will pay a whistleblower $30 million, which is the largest payout ever provided by the three-year old program that seeks to stamp out fraud by compensating individuals who disclose wrong doings. So reports Fortune.
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