Halifax Wealth Adviser Fined and Sent Back to Class
Halifax wealth adviser Lee Harwood will pay a fine of $40K and costs of $5K for making off-book investments for various clients without authorization.
Recent
SEC Commissioner: ESG Standards Attempt to ‘Measure the Unmeasurable’
Speaking in Sweden before EuroFi, Hester Peirce argued materiality-based standards—not ESG standards—best suit investors’ needs.
House Panel Advances Capital Formation Bills
US Rep. Ann Wagner (R-MO) chair of the House of Reps Financial Services Subcommittee on Capital Markets touted panel advancement of a pair of bills.
US SEC Criticizes Binance.US and Voyager Digital Over Securities Regulations
Regulatory body questions Binance.US's unlicensed operation and Voyager Digital's VGX token sales during bankruptcy hearing.
One (Uncomfortable) Way to End the Debt-Ceiling Standoff
If politicians don’t listen to CEOs and economists telling them to hurry up and resolve debt-ceiling crisis, a more formidable master may intervene.
U.S. Supreme Court to Examine Whistleblower Claims Against Financial Firms in UBS Case
US Supreme Court agreed to examine how difficult it should be for financial whistleblowers to win retaliation lawsuits against their employers.
Morgan Stanley’s Wilson Says Hawkish Fed Could Damp Stock Rally
Stock market investors holding on to hopes that the Federal Reserve will cut rates in the second half could be disappointed later this week.
