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. ...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
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New complaint filed in Chicago over age discrimination claims against Hightower
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...
Lawsuit filed against Vanguard over sharing of client data with third parties
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...
CFP Board launches new exam preparation tool powered by AI
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...
Many Gen Zers turning to social media for financial advice, survey finds
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...
