Whether Kamala Harris or Donald Trump becomes President in January, their nominees for regulatory positions at the Labor Department and Securities and Exchange Commission will depend on electoral results for the Senate.
The commission settled charges that Wahed Invest violated the ad rule when including a pro soccer player and MMA athletes in marketing without clarifying that they weren’t clients and were compensated.
Cinda Collins alleged her former employer discriminated against her by terminating her after 30+ years because she was nearing retirement.
In one case, the firm agreed to pay $45 million to settle charges that it didn’t disclose financial conflicts regarding a portfolio management program to clients.
The core four-person advisor support network.
