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A group of banks and business groups have filed a lawsuit against the Federal Reserve over its annual bank stress tests. AdvisorHub reports. The tests, implemented following the 2008 financial crisis, are aimed at forcing banks to maintain adequate cushions for bad...
The Certified Financial Planner Board of Standards announced that Liz Miller, CFP®, CFA® has assumed her role of Chair of its Board of Directors, Investment News reported. The board elected Miller at its July 2023 meeting to serve as 2024 Board Chair-elect, and on...
There could be a substantial increase in the number of people filing for Social Security as the result of a new measure signed into law recently by President Biden, ThinkAdvisor reports. he Social Security Fairness Act rescinds two provisions — the Windfall...
The utilization of artificial intelligence is expected to result in significant job losses in the financial industry in the coming years, according to Financial Advisor and Bloomberg Intelligence. With AI continuing to perform certain tasks more efficiently than human...
Fidelity Brokerage Services has been hit with a fine for its lapses in supervision that enabled an employee's misconduct, ThinkAdvisor reports. The Financial Industry Regulatory Authority fined Fidelity $600,000 in connection with an employee who converted $750,000...
J.P. Morgan Securities' request for $39.8 million in damages against one of its former advisors was denied by a Financial Industry Regulatory Authority arbitration panel, ThinkAdvisor reports. In its arbitration filing, J.P. Morgan alleged that ex-advisor Edward L....
The Securities and Exchange Commission announced charges and penalties against a California-based registered investment adviser for violating provisions of its Marketing Rule, according to WealthManagement.com. The SEC's investigation found that Atlas Financial...
A settlement has been reached over allegations that UBS Wealth Management USA's broker-dealer failed to adequately supervise its brokers, according to AdvisorHub. In a disciplinary letter published recently, the Financial Industry Regulatory Authority said the...
Customers of three firms who were improperly charged for mutual fund sales will be receiving restitution for the money they are entitled to, AdvisorHub reports. The Financial Industry Regulatory Authority announced that it has ordered the firms,, Edward Jones, Osaic...
Expungement requests by brokers have dropped sharply after the Financial Industry Regulatory Authority adopted reforms in the process, according to AdvisorHub. The new rules, which were approved by the SEC, were aimed at making it more difficult for brokers to expunge...
