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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The Financial Industry Regulatory Authority has filed a complaint against a former Merrill Lynch advisor who was fired last year after throwing a smoothie amid a viral rant at a Connecticut juice shop. So reports Investment News.
Finra claims that the ex-broker, James Iannazzo, violated its so-called Rule 2010 through a series of cash transactions allegedly made from 2014 to 2021 to avoid triggering federal reporting requirements.
Investments News was unable to reach Iannazzo at his currently registered Westport, Connecticut, office with Aegis Capital Corp.
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While market bulls are understandably cheering the ongoing equity rally…
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