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In the News
- 18Oct
BD client claims building in wake of billion-dollar sales of GPB Capital LPs
GPB | Financial Planing | Tobias Salinger | October 17, 2019 A slow-building saga involving investing, cars and trash is spilling over into a new phase — arbitration against broker-dealers. BDs that sold high-commission limited...17OctExclusive: Turf War Blocked CFPB From Helping Fix Student Loan Forgiveness Program
Student Loan | NPR | Chris Arnold | October 15, 2019 Starting early last year, the nation’s most powerful consumer protection agency sent examiners into companies that run student loan call centers to try to... - 1Oct
Broker-Dealer Fined $225K Over Sales of Complex Products
Broker-Dealer, Newbridge Securities | Financial Advisor IQ | Alex Padalka | October 1, 2019 Finra has fined a Florida-based broker-dealer $225,000 for alleged failures to supervise the sales of complex investment products, the industry’s self-regulator...1OctCancer patients’ stem cells destroyed after freezer fails at Children’s Hospital Los Angeles
CNN | Faith Karimi | September 26, 2019 (CNN) A freezer malfunctioned at the Children’s Hospital Los Angeles, destroying stored blood stem cells for 56 patients, some of whom are fighting cancer. In a statement...
Secretary of State Announces $4.7 Million Dollar Settlement with Morgan Stanley: