Articles tagged "Todd Cipperman"
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Schwab Advisor Services's 'very tight ship' sprung leak that may signal a flood of SEC actions against custodians, leading to potential crack down on RIAs
The $1.6-trillion RIA custodian in San Francisco settles SEC lawsuit in a day by paying a $2.8 million fine in a case meant to be a 'shot across the bow' of custodians and RIAs, say analysts
August 3, 2018 at 12:24 AM
LPL issues urgent warning to RIAs: The SEC wolf blew down its home-office door and is combing through records for evidence of mutual fund share class misuse
Andy Kalbaugh emailed a letter to LPL advisors that file their own ADVs as a sort of fair-warning heads up
July 25, 2018 at 10:37 PM
A wider window opens on David Zier tragedy as Convergent is made to pay and FINRA and SEC make themselves scarce
The life insurance on the suicide was executed with chilling precision by the ex-CEO and the CFTC was called in to do the regulatory dirty work
January 6, 2017 at 10:46 PM
How 12(b)-1 fees and revenue sharing may be the real victims of Monday's 'narrow' Supreme Court ruling
By unanimous decision, a conservative nine showed no tolerance for retail mutual fund share classes that achieve such status with fat fees that directly or indirectly pay 401(k) administration freight
May 20, 2015 at 4:18 PM
Why RIAs need to pay heed to a ruling that put a media star and advisor out of business -- and out $300,000
A judge ruled that Ray Lucia lacked the back-up to justify his hypothetical back-tests as the SEC pins a bull's eye on the strategy
July 19, 2013 at 4:00 AM
SEC sends sharp warning to advisors using social media
RIAs have to make sure they don't get 'liked' on popular websites like Facebook
January 6, 2012 at 3:20 PM
How much should RIAs shake in their boots after the SEC punished three firms then put out a detailed press release?
Did the embattled agency go too far -- or not far enough?
