Former Indiana-based Investment Advisor Sentenced to Four Years in Prison
A former Indiana-based investment advisor is sentenced to four years in prison following a guilty plea for wire fraud and a fraudulent tax return.
Recent
Senators Aim to Finalize the DOL Fiduciary Rule
Nine senators have appealed to the (DOL) and the Office of (OMB) for the prompt finalization newly proposed amendment, aimed at redefining fiduciary.
Satisfaction Rises among Clients Using Financial Advisors
J.D. Power 2024 U.S. Full-Service Investor Satisfaction Study, finds a 8-pt (on a 1,000-point scale) yr-over-yr increase in investor satisfaction.
Finra Alleges Abuse of POA by Stifel Broker
Stifel Nicolaus consented to a settlement exceeding $450,000 to address accusations of inadequate supervision over reps endowed with POA for clients.
Drug Use by Musk, Allegedly Influencing Company Co-workers to Turn On
Musk has reportedly fostered environment within his circle of business associates and directors that pressures them to partake in drug use with him.
Employees Are Spending the Equivalent of a Month’s Grocery Bill on the Return to the Office
Employees are spending the equivalent of a month’s grocery bill on the return to the office–and growing more resentful than ever, new survey finds.
Citigroup's Laid-off Employees in New York to be Paid Through April
Some Citigroup employees who are being laid off this week in New York are expected to be paid salaries through April, two sources acknowledged.
