Family affair: Uncle and three nephews quit UBS for Ameriprise | On Wall Street - The $314 million team made the change after deciding it was a better fit culturally https://onwallstreet.financial-planning.com/news/family-affair-uncle-and-three-nephews-quit-ubs-for-ameriprise

NYTimes.com: Filing Taxes on Your Phone? Insert Frustrated-Face Emoji Here - From The New York Times: Filing Taxes on Your Phone? Insert Frustrated-Face Emoji Here Millions of people are expected to submit their returns via mobile platforms this year. I won't be one of them....

SEC Charges Founder of Online Gaming Company Defrauding Investors - The SEC charged Robert Alexander with fraudulently raising approximately $9 million from more than 50 individuals by selling investments in Kizzang LLC, a purported online gaming business. Alexander misled investors to believe they would make at...

These non-essential costs are probably getting in the way of your financial goals | On Wall Street - Millennials lag behind in terms of credit card debt and retirement savings, but they spend the most on vacation, dining out and other unnecessary expenses, according to a new study....

SEC News - Fraud, a Ponzi Scheme, and ICFR Failures - SEC Emergency Action Charges Texas Real Estate Developer for Multi-Million Dollar Offering Fraud The SEC filed charges against a Texas resident and real estate developer, two other individuals, and several related entities for conducting a...

Independent BD payouts: Hidden costs and charges | On Wall Street - Monthly charges are the area in which there's the most variation amongst broker-dealers, writes recruiter Mark Elzweig. https://onwallstreet.financial-planning.com/opinion/independent-bd-payouts-the-devil-is-in-the-details

I'd like to share a link with you - As a new alert from the SEC Office of Compliance Inspections and Examinations makes clear, examiners are paying close attention to advisers and staff who text, send instant messages and use personal emails to communicate with clients. More...

Broker- Dealer Law Corner- The Disturbingly Cozy Relationship Between FINRA And PIABA - Excellent commentary from our colleague Alan Wolper regarding the curious relationship between FINRA and PIABA. https://www.bdlawcorner.com/2019/01/the-disturbingly-cozy-relationship-between-finra-and-piaba/

JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs - The SEC announced that JPMorgan Chase Bank N.A. will pay more than $135 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs). ADRs are U.S. securities that represent foreign shares of a foreign...

SEC Brings Charges in EDGAR Hacking Case - The Securities and Exchange Commission announced charges against nine defendants for participating in a previously disclosed scheme to hack into the SEC’s EDGAR  (Electronic Data Gathering, Analysis, and Retrieval)  system and extract...

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