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At five years, Reg BI has resulted in 42 cases and millions in fines

At five years, Reg BI has resulted in 42 cases and millions in fines
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

United statesKnut rostadMark quinnEversheds sutherlandJeff fauciJoe peifferJoe wojciechowskiFinancial industry regulatory authorityPublic investors advocate bar associationInstitute for the fiduciary standardUs armyBest interestNew orleans basedPeiffer wolf carr kane conwayTeachers insuranceChicago based stoltmann law

New FINRA data suggest decline in expungement requests

New FINRA data suggest decline in expungement requests
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

United statesStephan louviereDochtor kennedyBenjamin edwardsJoe peifferJohnd stewartRichard berryLas vegasAmerican arbitration associationWilliams boyd school of lawFinancial industry regulatory authorityMediation servicesUniversity of nevadaPublic investors advocate bar associationColorado based advisorlawJudicial arbitration

Advisors face new U S fiduciary requirements | Investment Executive

Labor Department finalizes fiduciary rule for retirement advice

United statesKenneth bentsen jrJulie suJoseph peifferEric panPublic investors advocate bar associationFinancial markets associationUs treasury departmentInvestment company instituteExchange commissionRegulation best interestWall streetPeiffer wolf carr kane conwayKenneth bentsenBest interest

Former Goldman Advisors Trash Frantic United Capital Sale

Nine former Goldman/United Capital advisors are suing the former firm for trying to move its arbitration venue, accusing them of "pure gamesmanship."

North dakotaUnited statesNew yorkNorth carolinaSouth carolinaDwayne gradyCary carbonaroCaroline girgisRobert davenportJoe peifferAlan mcclainAmanda pilkertonMichael scott duncanPublic investors advocate bar associationYork state courtAmerican arbitration association

Reg BI enforcement heats up with $2 2M TIAA fine

Reg BI enforcement heats up with $2 2M TIAA fine
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

New yorkUnited statesRichard michalskiMichael murrayThomas smithHugh berksonJoe peifferExchange commissionFinancial industry regulatory authorityRed bankPublic investors advocate bar associationInstitutional servicesTeachers insuranceRegulation best interestBest interestNew jersey based network