Jan 18, 2025 View in Browser

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News

Vanguard to Pay $106M In Retirement Fund Selloff Case

By Dinah Wisenberg Brin

Prospectuses failed to disclose that an investor exodus could lead to large tax bills, the SEC said.

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News

Advisor Accused of Stealing From Widowed Aunt Faces Fraud Charges

By Melanie Waddell

Scott Mason misappropriated $20 million from 13 clients, according to the SEC.

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News

SEC Fines LPL $18M for AML Violations

By Dinah Wisenberg Brin

LPL failed to close or restrict thousands of prohibited high-risk accounts, according to the SEC.

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News

Capital One Direct Deposit Problems Drag On Into Third Day

By Dinah Wisenberg Brin

Customers continued to report account trouble Friday, with an outage monitoring site logging 4,000 reports.

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Analysis

U.S. Bull Market in 7th Inning: Fidelity's Timmer

By Dinah Wisenberg Brin

Two firm leaders say stocks could face more pressure this year; another sees an "intriguing" equities setup.

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News

Surging Rates Stoke GOP Tensions on Paying for Tax Cut

By Steven T. Dennis and Enda Curran

Yields on 10-year Treasurys are double what they were just before Trump started his first term.

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Resources

A Guide to Regulatory Compliance: Avoid Fines and Stay Ahead

Sponsored by: Morningstar, Inc.

Regulatory fines are becoming more frequent for financial firms due to compliance failures. This guide will help ensure your compliance efforts are up to date to avoid costly fines.

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ON DEMAND

The Future of HNW Success: 2025 Investment and Planning Trends

Sponsored by Orion

Join our expert panel to gain actionable insights into how the HNW and UHNW markets are evolving and what it means for your practice.

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