In The News

AIG Unit to Pay $40M Over 12b-1, Referral Fees Tied to Teacher Pensions

“Too often educators are targeted with misconduct related to their investments,” said SEC Chairman Jay Clayton. Source: ThinkAdvisor.com | By Melanie Waddell | July 28, 2020, at 10:34 AM Valic Financial Advisors agreed Tuesday to pay $40 million to the...

Morgan Stanley Put My Money in Unsuitable Investments: Elderly Client

Lawyers for an elderly Dallas investor say they have filed a Finra arbitration claim against Morgan Stanley and one of its brokers alleging that the firm’s “unsuitable recommendations” cost the investor more than half a million dollars in losses. Source:...

Wells Fargo Nearing $3B Settlement: Reports

Wells Fargo is set to pay some $3 billion to settle federal investigations of its fake accounts and related client abuses, according to several news reports. CLICK HERE to read the full article.   Source: ThinkAdvisor.com | By Janet Levaux | February 21, 2020, at...

Ex-MLB Player Wins $2M Payout From Merrill in Bond Dispute

Former outfielder Angel Pagán said his rep put his money in unsuitable Puerto Rico muni bonds and closed-end bond funds. Source: ThinkAdvisor.com | By Jeff Berman | January 22, 2020, at 3:24 PM Brian Rezny warned investors, “stay away from Puerto Rico...

J.P. Morgan Securities to Pay SEC $1.5M for Share Class Violations

“The brokerage firm failed to provide retail retirement account and charity customers with sales charge waivers and lower-fee share classes.” Source: ThinkAdvisor.com | By Melanie Waddell | January 15, 2020, at 2:12 PM CLICK HERE to read the full...

Bottom Half of Households Nearly 50% Richer Under Trump

“The Trump economy is giving the greatest benefits to those who have been at the bottom, according to new data from the Council of Economic Advisers.” Source: WesternJournal.com | By Jack Davis | January 11, 2020, at 8:16 AM CLICK HERE to read the full...

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