- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
A coalition of business groups is suing to strike down the Department of Labor’s recent “fiduciary duty” rule, calling it “over-reaching” with an end result that “will restrict hardworking Americans’ access to retirement advice and planning services.” Joe Mont provides details on the suit being brought by the U.S. Chamber ...
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First Horizon Advisors will pay a $325,000 fine to settle allegations from the Securities and Exchange Commission that it violated Regulation Best Interest in part due to issues with incorporating a merged firms’ accounts into its systems.
A risk alert from the Securities and Exchange Commission listed top reasons why a registered broker-dealer might be the subject of an examination.
The Department of Labor sued three Alabama businesses, including a Hyundai Motor manufacturing plant, for employing a 13-year-old worker on an auto parts assembly line.
