Florida
Get the latest on Florida's financial regulations, enforcement actions and litigation.
November 24, 2021
2 More States Adopt Commission-Friendly Annuity Sales RulesAdvocates of the model hope to ward off the imposition of a broad fiduciary standard.
November 04, 2021
Ex-Wells Fargo Broker Barred by FINRA Over Ponzi SchemeThe former broker and Wells Fargo were among those named in a complaint last year by disgruntled investor.
September 09, 2021
Taxpayer-Friendly Trust Laws Are Florida's Latest AttractionUnder the new Uniform Directed Trust Act and Community Property Trust Act, Florida is even more hospitable to directed trusts or community property trusts.
August 31, 2021
2 Veteran South Florida Lawyers Sentenced for Financial FraudThe fraud affected more than 3,600 investors in 42 states, prosecutors say.
January 04, 2021
Ex-Rep Sues Morgan Stanley Over Deferred CompA broker says the firm wrongly withheld more than $500,000 from him when he left.
December 07, 2020
Goldman Plans to Move Asset Managers From New York to This StateThe deliberations at the Wall Street icon, often a trendsetter for the industry, are aimed at cutting costs.
November 20, 2020
Morgan Stanley Fires Brokers Over Legacy Account PaymentsThe firings involve a program allowing departing brokers to split fees and commissions with the reps who inherit their accounts.