America August 25, 2023
Strict Fiduciary Duty For Robinhood
In a pivotal move, Massachusetts’ Supreme Judicial Court stood firm on Friday, championing a groundbreaking fiduciary rule. This rule equates…
Business July 27, 2021
27 Financial Firms Settle SEC Charges Over Form CRS Filing and Delivery Failures
A total of 27 financial firms (21 investment advisors and 6 broker-dealers) agreed to pay civil penalties to settle the…
Business February 28, 2020
Wells Fargo to pay $35 million to settle charges related to its investment recommendation practice
The broker-dealers of Wells Fargo and Company (NYSE: WFC) and the Securities and Exchange Commission (SEC) reached an agreement to…
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