A wider window opens on David Zier tragedy as Convergent is made to pay and FINRA and SEC make themselves scarce
The life insurance on the suicide was executed with chilling precision by the ex-CEO and the CFTC was called in to do the regulatory dirty work
|January 6, 2017 — 10:46 PM UTC|
How 12(b)-1 fees and revenue sharing may be the real victims of Monday's 'narrow' Supreme Court ruling
By unanimous decision, a conservative nine showed no tolerance for retail mutual fund share classes that achieve such status with fat fees that directly or indirectly pay 401(k) administration freight
|May 20, 2015 — 4:18 PM UTC|
Why RIAs need to pay heed to a ruling that put a media star and advisor out of business -- and out $300,000
A judge ruled that Ray Lucia lacked the back-up to justify his hypothetical back-tests as the SEC pins a bull's eye on the strategy
|July 19, 2013 — 4:00 AM UTC|
SEC sends sharp warning to advisors using social media
RIAs have to make sure they don't get 'liked' on popular websites like Facebook
|January 6, 2012 — 3:20 PM UTC|
How much should RIAs shake in their boots after the SEC punished three firms then put out a detailed press release?
Did the embattled agency go too far -- or not far enough?
|November 30, 2011 — 5:50 AM UTC|