Texting Still in Regulators' Crosshairs
By Melanie WaddellIf regulators find violative conduct related to off-channel communications, they will bring actions, Eversheds attorneys say.
August 14, 2025
Treasurys Sink as Wholesale Inflation Dents Fed Rate-Cut BetsFor investors, the consumer price reading was enough to solidify wagers on a 25-basis-point rate cut.
August 14, 2025
DOL Lifts Warning on Alts in 401(k)sThe move follows Trump’s executive order that paved the way for alternative assets to be included in retirement plans.
August 14, 2025
Prospects Want More Than Referrals When Picking an Advisor: SurveyOver 80% of investors want to read online reviews of advisors and understand their reputation before hiring them.
August 13, 2025
Investors Jump Into Riskiest Assets After Inflation ReportThe view is that falling interest rates will add fuel to an economy that's been able to withstand the effects of Trump's trade war.
August 13, 2025
Here's Who Nailed Calls for a Swift Stocks RecoveryJust two Wall Street forecasters stuck to their bullish outlooks, which turned out to be the right call.
August 13, 2025
Wells Fargo Hit With $275K FINRA FineWells Fargo Clearing failed to establish and maintain a supervisory system related to municipal advisory activity.
August 13, 2025
Rep Suspended for Execessive Trades in Senior Clients' Accounts, Violating Reg BIThe Spartan Capital rep made the trades in the accounts of two 66-year-old clients, leading to significant losses.