More in Legal

  • Nov 12, 2015
    The Daily Brief

    Tim Duncan Sues Financial Advisor Again

    NBA star Tim Duncan has filed another lawsuit against his financial advisor, claiming he was duped into investing $1.1 million into a cosmetics business....More
  • Nov 11, 2015
    The Daily Brief

    Advisors Who Carry Mistakes of Youth

    While the vast majority of investment advisor representatives have no criminal history, 1 percent of them have been convicted of a felony, according to a recent CNBC analysis....More
  • Nov 6, 2015
    The Daily Brief

    Fighting Back on Social Media Market Manipulation

    Fintech firm HedgeChatter has come up with a way to combat those darn bots that are constantly manipulating stock prices on social media platforms....More
  • Nov 5, 2015
    The Daily Brief

    Investing in the Common Good

    Some wealth management firms are developing platforms for providing specialized socially responsible investing for their clients....More
  • Oct 21, 2015

    Brokers' Records Wiped Clean Too Often

    Too many advisors are still getting their records wiped clean, according to a new report from the Public Investors Arbitration Bar Association....More
  • Oct 20, 2015
    The Daily Brief

    Futile Fight

    JPMorgan Chase CEO Jamie Dimon told Bloomberg Business on Monday that banks like his have little choice but to settle with regulators over alleged violations and pay the fines....More
  • Oct 19, 2015
    The Daily Brief

    Mass Mutual Targeting Millennials

    Massachusetts Mutual Life Insurance plans to invest $100 million to expand its financial planning startup "Society of Grownups" and geared toward Gen-Y Clients to 10 cities across the United States, including group financial planning classes, supper clubs and one-on-one meetings with planners....More
  • Oct 13, 2015
    The Daily Brief

    Eat Your Own Cooking

    HighTower’s CEO Elliot Weissbluth appeared on Wall Street Week over the weekend, talking about the qualities he thinks make a good financial advisor....More
  • Oct 9, 2015
    The Daily Brief

    Could Financial Services Chair Move into Speaker Slot?

    Now that Rep. Kevin McCarthy of California has quit the race for Speaker of the House, could Jeb Hensarling toss his hat back into the ring?...More

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