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Broker Dealer Regulatory Digest - April 2024 - 2 | JD Supra
JD Supra· 3 days agoOn April 23, 2024, two groups representing the cryptocurrency industry sued SEC over its expanded dealer definition announced earlier this year. The Blockchain Association and Crypto Freedom ...
Fidelity Sales Practices Violated Reg BI, Advisor Says in Whistleblower Suit | ThinkAdvisor
ThinkAdvisor· 1 day agoDistrict Court in Texas’ northern district. Fidelity’s actions have cost Maeker millions in damages...
Redfin agrees to pay $9.25 million to settle real estate broker commission lawsuits
Fort Wayne Journal Gazette· 3 days agoRedfin has agreed to pay $9.25 million to settle federal lawsuits that claim U.S. homeowners were...
Gary Gensler-Led SEC A Source Of Frustration For Robinhood, CEO Vlad Tenev Says They've Held 16...
Benzinga· 7 hours agoThe CEO of Robinhood Markets Inc HOOD Vlad Tenev expressed his frustration with the U.S. Securities...
Morningstar’s Why
Morningstar· 42 minutes agoEditor’s Note: Don Phillips joined Morningstar in 1986 as its first mutual fund analyst; he established the firm’s independent voice and mentored scores...
Robinhood Markets receives SEC notice for alleged securities violations at crypto unit
Scripps News via AOL· 3 days agoIt has also attempted to register a special purpose broker-dealer with the agency. Robinhood said...
Caledonia Mining Corporation Plc Notice of Results and Investor Presentation
Digital Journal· 9 hours agoCaledonia Mining Corporation PlcMark LearmonthCamilla Horsfall Tel: +44 1534 679 800Tel: +44 7817 841 793Cavendish Capital Markets Limited (Nomad and Joint Broker)Adrian Hadden ...
Charter Announces Tender Offer for Debt Securities
WKBN 27 Youngstown· 2 hours agoCharter Communications, Inc. (NASDAQ: CHTR) (along with its subsidiaries, "Charter") today announced that its subsidiaries, Charter Communications Operating, LLC and Charter Communications Operating ...
Q1 2024 Envestnet Inc Earnings Call
Thomson Reuters StreetEvents via Yahoo Finance· 1 day agoInvestment continues to be in this leading position because we are executing on what our clients need. We have unmatched scale as the leading wealth management firms, RIAs and broker ...
A Strategic Approach for Business Owners - Cascade Business News
Cascade Business News· 2 hours agoDavid Rosell is president of Rosell Wealth Management in Bend. Find David’s books at local bookstores, Amazon, Audible as well as Redmond Airport. Investment advisory services offered through ...
