Sioux Falls investor sues medical marijuana companies
A South Dakota trust that invested in a Puerto Rican marijuana operation has filed suit to recover money it claims to have lost in the deal.
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SEC on the lookout for a new home near Wall Street
The SEC is on the prowl — not for inside traders, but for a new home near Wall Street.
Former DOL Leader Phyllis Borzi joins Edelman Financial Engines Board of Directors
Phyllis C. Borzi, the lead champion of the U.S. DOL fiduciary rule for financial advisors, has joined Edelman Financial Engines’ Board of Directors.
U.S. SEC Adopts Rules to Enhance Order Handling Information Available to Investors
The U.S. SEC voted to adopt amendments requiring broker-dealers to provide investors with new and enhanced disclosures regarding handling of ...
Vanguard Tumbles in Customer Satisfaction After Digital Snafus
Vanguard Group, famed for its low-cost investment products, just broke out of the pack in a consumer satisfaction survey. But not in a good way.
Goldman Sachs then CEO Blankfein attended meeting at center of $6.5B Malaysian wealth fund scandal
Then Goldman Sachs CEO Lloyd Blankfein was present at a meeting in 2009 to help establish ties with Malaysian officials before the $6.5...
Wells Fargo: There’s ‘No Gender Bias’ In Wealth Management Unit
Wells Fargo has ended its investigation into alleged gender bias in its wealth management division, people familiar with the matter said.
