- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2016-01-06T15:15:00
Image: JPMorgan’s brokerage business has agreed to pay $4 million to the SEC to settle charges that it falsely stated on its private banking website and in marketing materials that advisers are compensated based on client performance, rather than commission. According to SEC Enforcement Division Director Andrew Ceresney, “JPMS ...
2016-02-09T10:30:00Z By Joe Mont
It sounds reasonable enough: hold broker-dealers and investment advisers to a fiduciary standard when they offer investment advice, specifically with retirement plans. Firms, however, fear that pending rules, split between the Securities and Exchange Commission and Department of Labor, are not in sync and unintended consequences will radically alter traditional ...
2025-07-01T23:39:00Z By Oscar Gonzalez
The Department of Government Efficiency (DOGE) has a new target, and this time it won’t be just firing federal workers. The agency formed by Tesla CEO Elon Musk at the start of the Trump administration wants to roll back more regulations.
2025-07-01T23:26:00Z By Oscar Gonzalez
Since President Donald Trump took office, the U.S. Federal Trade Commission has yet to keep up the level of enforcement it had under previous chair Lina Khan. The agency, however, returned to antitrust action in the case of fuel stations, just in time for the July 4th holiday.
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