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A roundtable discussion of executive compensation disclosure requirements will be hosted next month by the Securities and Exchange Commission. The SEC announced that the event will be held June 25th at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C. ...
An age discrimination lawsuit filed by a former advisor with Hightower Holdings is being revived in a new venue, AdvisorHub reports. The plaintiff is 69-year-old Glenn E. Frank, who sued Hightower in August 2024 in Massachusetts Superior Court over allegations the...
A proposed class action lawsuit has been filed against the Vanguard Group over the alleged sharing of client data with third parties, according to ThinkAdvisor. Two Vanguard clients, Brian Felsen and Matthew Ragusano, filed the suit recently in U.S. District Court in...
Candidates hoping to become certified financial planners will have help from a new preparation tool that is powered by artificial intelligence, ThinkAdvisor reports. The Certified Financial Planner Board of Standards announced the launch of CFP® Exam Practice App, its...
A new survey on where Americans get their financial advice finds a significant percentage of the Gen Z group are relying on social media, InvestmentNews reports. Gallup conducted a poll last month of 2,036 U.S. adults, in which respondents were asked whether they use...
The Financial Industry Regulatory Authority held its annual conference this week and among the main topics was the push to modernize the organization, according to a report by Financial Advisor. Over 30 sessions on trending topics were held at the event in Washington,...
The nation's financial regulators are dealing with the impact of major staff reductions implemented by the Trump Administration, InvestmentNews reports. Agencies including the Securities and Exchange Commission, the Federal Deposit Insurance Corp., and the Office of...
Arbitrators have denied the latest bid by a veteran Merrill Lynch market supervision manager to expunge an old customer complaint from her record, AdvisorHub reports. A panel of three Financial Industry Regulatory Authority arbitrators weighed the case of Elizabeth...
Rockefeller Capital Management has won an arbitration decision that will enable it to claw back nearly $2 million from one of its former brokers who left the firm, AdvisorHub reports. A Financial Industry Regulatory Authority arbitrator ruled in favor of Rockefeller...
A former financial advisor with Bank of America’s Merrill Edge unit has been barred from the industry under a settlement reached with the Financial Industry Regulatory Authority, according to AdvisorHub. Mario L. Martinez resigned from Merrill Edge in January while...
