Articles tagged "William Galvin"
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Massachusetts and Vanguard Group reach interesting settlement that gives the $8-trillion manager a shot at avoiding 49 copycat suits , quick cash for the state and 65% of a loaf for hapless investors
The William Galvin-driven settlement covers the state's legal fees and sets up restitution fund and a state pay-out, but a pending Pennsylvania lawsuit is likely the first of many to follow.
July 8, 2022 at 2:22 AM
Fidelity's 2016 'secret' fee fix for 'broken' 401(k) business model may spark fresh state and federal 401(k) crackdown on heels of investor civil suits
The DOL, William Galvin and a class action hang over the Boston 401(k) king's 15-basis-point fee, but experts think Fidelity -- its squirrel-y disclosure aside-- can fight the charges
March 18, 2019 at 9:28 PM
Why Bachus' SRO-that-must-not-be-named would prove a tyrant to RIAs
The author says that as a private corporation endowed with governmental powers, FINRA is unsafe at any speed
