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  • House Panel Advances Social Security Identity Theft Bills
  • Glitch at JPMorgan Chase Caused Double Online Transactions
  • IRS Makes Annuity Mortality Table Update, With a Smile
  • Pretrial Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill Exec
  • Morgan Stanley Retaliated Against Whistleblower, Suit Claims
European Compliance Association

European Compliance Association

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Author: European Compliance

News 

Bill to Fix Big Secure 2.0 Drafting Errors Is Coming

May 25, 2023May 26, 2023 European Compliance

     Key leaders in the U.S. Congress have confirmed their intentions to introduce technical correction legislation to address erroneous statutory language

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News 

Couple Bilked in $29M Ponzi Scheme Sues Advisory Firm

May 24, 2023May 26, 2023 European Compliance

     A married couple who say they lost $850,000 at the hands of a now-deceased advisor who allegedly ran a

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News 

Wells Fargo Rep Made His Friend a Client’s Beneficiary: FINRA

May 23, 2023May 26, 2023 European Compliance

     What You Need to Know FINRA alleged Mark Brewer submitted a form naming a family friend as the beneficiary

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News 

More Sweeps, Reg BI Cases on the Way

May 20, 2023May 22, 2023 European Compliance

     You can bet that the SEC will be issuing more sweeps, Gurbir Grewal, director of the Securities and Exchange

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News 

First Command Sues LPL Over Alleged Advisor Poaching

May 19, 2023May 22, 2023 European Compliance

     Two First Command Financial Services divisions sued LPL Financial, alleging it recruited three advisors from First Command’s Tampa, Florida office

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News 

Former Fidelity Exec Mike Durbin to Lead Cetera Holdings

May 18, 2023May 22, 2023 European Compliance

      Cetera Financial Group’s holding company has appointed Mike Durbin, who most recently was head of Fidelity Institutional, to the

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News 

FINRA Plans More Remote Work Rules

May 17, 2023May 18, 2023 European Compliance

      The Financial Industry Regulatory Authority is planning more remote work rules as well as an update to its outside

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News 

DOL Drops Rollover Appeal

May 16, 2023May 18, 2023 European Compliance

          The Department of Labor on Monday dismissed its appeal of a ruling in favor of the American Securities Association against

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News 

FINRA Expels Firm Over Reg BI Violations

May 15, 2023May 18, 2023 European Compliance

      The Financial Industry Regulatory Authority has expelled broker-dealer SW Financial for “multiple violations” related to Regulation Best Interest. FINRA found that

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News 

Don’t Panic! Social Security Isn’t Going Away Anytime Soon

May 13, 2023May 15, 2023 European Compliance

       What You Need to Know While the program faces problems, fearful speculation can trigger undue panic and poor decisions.

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Latest Stories

  • House Panel Advances Social Security Identity Theft Bills June 7, 2023
  • Glitch at JPMorgan Chase Caused Double Online Transactions June 6, 2023
  • IRS Makes Annuity Mortality Table Update, With a Smile June 5, 2023
  • Pretrial Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill Exec June 3, 2023
  • Morgan Stanley Retaliated Against Whistleblower, Suit Claims June 2, 2023
  • AI Chatbots Don’t Understand Annuities June 1, 2023
  • JPMorgan Building ChatGPT-Like Investment Tool May 31, 2023
  • House to Vote on Accredited Investor Definition Bill This Week May 30, 2023
  • Vanguard Fined $800K Over Statement Errors May 27, 2023
  • Ex-Edward Jones Rep Sentenced to 2 Years in Prison for Scamming Clients May 26, 2023

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