International Business Machines Corporation (“IBM”) recently convinced the U.S. Supreme Court to accept a 401(k) stock-drop lawsuit that could have an impact on how employers view company stock in their retirement plans.
Tagged with "James Eccleston"
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SEC Seeks Public Comments on Ways to Ease Access to Private Placements
Posted on June 25th, 2019 at 5:40 PM
The Securities and Exchange Commission (“SEC”) recently requested public comments on easing access to private placements, according to their concept release.
SEC Clarifies RIAs Can Use “Fiduciary” in Customer Relationship Summary
Posted on June 24th, 2019 at 4:32 PM
A change in the introductory language of the Customer Relationship Summary (“Form CRS”) sparked debate this week. The original wording eliminated the word “fiduciary” when describing the Registered Investment Advisor (“RIA”) standard of care owed to the client. RIAs voiced their concerns on Twitter and elsewhere.
FINRA Bars Rand Heckler, Former Financial Adviser of Benjamin & Jerold Brokerage
Posted on June 21st, 2019 at 3:54 PM
The Financial Industry Regulatory Authority (“FINRA”) recently barred Rand A. Heckler from the securities industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.
FINRA Bars Former Cetera Broker George Merhoff
Posted on June 20th, 2019 at 10:00 AM
The Financial Industry Regulatory Authority (“FINRA”) recently barred George C. Merhoff Jr. from the securities industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.
Merrill Lynch Team Joins Sanctuary Wealth
Posted on June 19th, 2019 at 4:45 PM
Wirehouse Merrill Lynch has lost another team of financial advisors to Sanctuary Wealth, an independent broker-dealer in Indianapolis led by a former Merrill regional manager.
FINRA Bars Nina Jessee after Receiving 23 Customer Complaints
Posted on June 18th, 2019 at 12:42 PM
The Financial Industry Regulatory Authority (“FINRA”) recently barred Nina S. Jesse from the securities industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.
FINRA Bars Former UBS Adviser Nicolas J. Barrios for Refusing to Provide Documents
Posted on June 17th, 2019 at 4:28 PM
The Financial Industry Regulatory Authority (“FINRA”) recently barred Nicolas J. Barrios (CRD No. 2122824) from the industry for refusing to provide documents and information requested by FINRA in connection with a fraud investigation.
FINRA Bars Jason Nelson, Former LPL Financial Broker for Non-Cooperation
Posted on June 14th, 2019 at 2:43 PM
The Financial Industry Regulatory Authority (“FINRA”) recently barred Jason Nelson (CRD No. 4824535) from the industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.
Advisors bolt, Morgan Stanley sues. Is this the 'new normal'?
Posted on June 13th, 2019 at 1:35 PM
Morgan Stanley has been busy in court lately, recently suing two advisors who left for rival firms over non-solicitation violations in what experts predict will be a familiar pattern for the foreseeable future.
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