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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A former Morgan Stanley broker has agreed to a Financial Industry Regulatory Authority bar from the industry after being fired in 2020 over accusations of miscoding trades. So reports AdvisorHub.
A letter of settlement shows that John Jacobsen, who started at Morgan Stanley’s Smith Barney predecessor in 1997, neither admitted nor denied FINRA’s findings or allegations.
The industry self-regulator said Jacobsen broke its rule Rule 8210 by failing to provide requested information.
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While market bulls are understandably cheering the ongoing equity rally…
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