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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Stephanie Henninger, a former registered client associate for Ameriprise, says she was sexually harassed by two of the firm’s FAs. So reports Financial Planning.
Additionally, Henninger says that when she reported the harassment, the company retaliated against her. In her lawsuit, Henninger says that when she told the company that Michael S. Maher and Stephen M. Waite II harassed her, she was demoted to receptionist and compliance administrator.
The case, which was filed in county court in New Jersey, was moved to federal court this month because the damages are likely to be more than $75,000.
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