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.
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Securities and Exchange Commission Chair Mary Jo White is proposing a host of reforms for…
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The Financial Industry Regulatory Authority has warned its member firms that claiming IRA are free…
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While market bulls are understandably cheering the ongoing equity rally off of 2009 lows, the…
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Smart beta funds are one of the hottest trends on Wall Street and are generating…
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A recent Government Accountability Office report maintains that 401(k) providers…
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The Department of Housing and Urban Development has changed principal…
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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.
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Private equity group Reverence Capital Partners is courting suitors for a minority stake in wealth…
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The NFL Players Association has approved UBS to work with current and former players through…
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Zachary Rehl was charged with six counts related to the January 6 attack on the U.S. Capitol, including conspiracy “(1) to stop, delay, or hinder Congress’s enforcement certification of the Electoral College vote, and (2) to obstruct and interfere with law officers engaged in their official duties to protect the Capitol and its occupants from those who had unlawfully advanced onto Capitol grounds. So reports Think Advisor.
Rehl, the president of the Philadelphia Proud Boys, a white nationalist group, briefly worked as a Merrill Lynch broker in a New Jersey call center in 2019. Merrill declined to comment to Think Advisor.
Other known rioters with ties to the financial services industry include Klete Derik Keller, formerly of Cantor Fitzgerald, and former broker Christopher Stanton Georgia, who killed himself shortly after being arrested.
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