The Federal Trade Commission's new rule banning employers from requiring employees to sign non-compete agreements has been struck down by a federal judge, the Washington Post reports. Tuesday's ruling by U.S. District Judge Ada Brown in Dallas blocks the ban that had...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: August 2024
SEC investigating whether B. Riley adequately disclosed risks from assets
The Securities and Exchange Commission is conducting an investigation into the operations of Los Angeles based investment firm B. Riley Financial Inc., reports AdvisorHub. Specifically, the probe is focusing on whether B. Riley sufficiently revealed the risk embedded...
Raymond James finalizing settlement with SEC over off-channel communications
A settlement is being finalized between the Securities and Exchange Commission and Raymond James Financial over the use of off-channel business communications at the firm, according to AdvisorHub. Raymond James reportedly has reached a settlement in principle with the...
Technological advances give financial advisors new tools to identify prospects
Advances in technology are empowering financial advisors with new tools they can utilize to generate leads and help their businesses thrive, according to a report in last week's Wealth Management. One firm at the forefront of this trend is the startup Finny, which...
Commodity indexes offered in increasing number of life and annuity products
Investors seeking added asset diversification in their portfolios are increasingly finding an option in commodity indexes, according to a ThinkAdvisor report. These indexes have also become appealing as a hedge against inflation, financial advisors say. The indexes,...
