Articles tagged "Wagner Law Group"
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Grayscale Investments is suing the SEC to get its ETF approved but bitcoin's swoon means 'public sympathy' may swing in favor of the regulator, a rules lawyer says
The 'hard-pressed' Stamford, Conn., crypto fund manager calls the SEC's rebuff 'capricous' but with cryptocurrencies in freefall, the SEC can say I told you so -- even if its logic is inconsistent and questionable.
July 1, 2022 at 7:06 PM
Charles Schwab & Co. registers TD Ameritrade brokers to rep Schwab products and to retain clients who chose to convert to 'Schwab'
The Westlake, Texas giant registered TD Ameritrade reps en masse to its own broker-dealer so they can now reclaim clients who pre-converted to Schwab and also buy and sell Schwab products, open Schwab accounts, manage them, and even get paid on it all
February 8, 2022 at 11:20 PM
RIAs may face ticking time bomb after SEC slams a $1.9-billion RIA for neglecting 'orphan' accounts while charging fees, a problem that may be industrywide
Thousands of clients may be getting lost in the shuffle in the face of strong inorganic RIA growth -- an obscure problem until federal regulators gave Regal Investment Advisors the royal treatment, in part, for charging full fees and failing to disclose reduced service.
October 26, 2021 at 7:39 PM
New 'anti-regulatory' DOL Fiduciary Rule figures to keep $10-trillion IRA market under the IRS, allow some conflicted advice; does Rule's revival from dead presage Joe Biden presidency?
The rush to enact rewritten DOL Fiduciary Rule is a 'mystery' given Wall Street's presumed preference for defaulting to status quo; has presidential polling adverse to Donald Trump restored a sense of urgency?
June 4, 2020 at 2:28 AM
Pro-DOL rule forces sharpen knives now that DOL rule's 18-month delay is carved in stone
Labor Department loses formerly effective duck-and-weave defense tactic after 'U-turn' toward a more Wall Street golden goose ethos
November 28, 2017 at 10:14 PM
'Poof, it's gone!' DOL quietly strips two heavy lifts from the fiduciary rule as it makes delay official
The Department of Labor effectively makes the 60-day delay into a 270-day one as part of document that was supposed to only formalize the postponement until June 7
April 5, 2017 at 7:41 PM
In new wrinkle, ERISA complaint of Edward Jones employees centers on failure to offer yield-chasing money market alternative
The 401(k) lawsuit in the name of 38,000 participants resumes the parade of lawsuits against the giant broker-dealer based on revenue sharing arrangements
September 6, 2016 at 6:04 PM
How the DOL brought the IRS wolf to the RIA door with its 'rule' -- think IRAs
The Internal Revenue Service was always the IRA cop for individuals but now advisors may answer to the tax man
May 13, 2016 at 10:19 PM
Stealing the FPA show, 'rock star' Marcia Wagner sounds four-alarm fire drill on DOL's onrushing fiduciary rule -- especially one arising from a stumper of a rollover provision
Is there more than one way to be a fiduciary? Yup. Think the rule doesn't apply to your non-401(k) practice and won't affect your fees? Think again, warned the lawyer at the FPA conference in Boston
