Fiduciary Duties Archives - Page 3 of 4 - FrankowskiFirm Blog Posts

FINRA Intends To Probe Brokerages’ Compliance Culture

archive.php

FINRA intends to investigate whether complying with rules is part of brokerage firms’ culture during its examinations this year. The […]

by Richard FrankowskiFINRA, Press Releases & News, SECJanuary 5 2016 Lawsuit Alleges Fiduciary Breach Under ERISA

archive.php

A class-action lawsuit was filed last week alleging breach of fiduciary duty resulting from excessive record-keeping […]

by Richard FrankowskiPress Releases & NewsDecember 28 2015 AR Capital Halts Creation Of New Nontraded REITs

archive.php

AR Capital, the massive real estate investment trust sponsor established by Nicholas Schorsch, will cease creating […]

by Richard FrankowskiPress Releases & NewsNovember 17 2015 Legislators Frustrated As SEC Slogs Toward Proposing A Fiduciary Rule

archive.php

Legislators have expressed frustration with how slowly the SEC has moved toward proposing a rule that […]

by Richard FrankowskiPress Releases & News, SECOctober 26 2015 Securities Industry, DOL Fight Over Cost Of Fiduciary Rule

archive.php

Labor Secretary Thomas Perez backed a proposal to increase investment advice standards for retirement accounts by […]

by Richard FrankowskiPress Releases & NewsOctober 19 2015 DOL Fiduciary Debate Heats Up

archive.php

The fight over a Department of Labor proposal to increase investment advice standards for retirement accounts […]

by Richard FrankowskiPress Releases & News, SECOctober 5 2015 Whole Foods Hit With Shareholder Suit For Misleading Pricing Scandal

archive.php

Whole Foods’ misleading product labeling drew the ire of the New York City Department of Consumer […]

by Richard FrankowskiFraud, Press Releases & NewsSeptember 28 2015 Delaware Court Awards $148M In Damages, Finds Dole Food Company Directors Liable

archive.php

The Delaware Court of Chancery found David Murdock and C. Michael Carter liable under the entire […]

by Richard FrankowskiFraud, Press Releases & NewsSeptember 1 2015 SEC Charges Atlanta Firm With Fraud Over Public Pension Funds

archive.php

The SEC filed fraud charges against an Atlanta-based investment firm and two of its executives for […]

by Richard FrankowskiPress Releases & News, SECMay 22 2015 UBS Loses Arbitration, Forced To Pay $200k

archive.php

UBS Loses Arbitration and Ordered to Pay $200K UBS lost an arbitration case this week pertaining […]

by Richard FrankowskiPress Releases & NewsMay 14 2015