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Helen Grace Caldwell faces 20 years in prison after being charged with wire fraud in a scheme that allegedly stole $1.5 million from clients, according to the Justice Department.
The brokerage app sued Commonwealth Secretary William Galvin, arguing against the validity of Massachusetts’ fiduciary standard. The state’s highest court ruled in favor of Galvin.
2023 was marked by resilience and transformation as Tina Powell, Chief of Community at Intention.ly, faced unexpected challenges in her 'year of health.'
The independent broker advocacy group previously sued the DOL for withdrawing a Trump-era version of the rule in 2021 and is looking to revive that lawsuit.
J.P. Morgan Securities agreed to pay $18 million to settle charges that it gave certain clients the choice of accepting credits or settlements while agreeing not to approach regulators.
