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Strict Fiduciary Duty For Robinhood – USA Herald

In a landmark decision, Massachusetts’ top court upholds a strict fiduciary duty for Robinhood, setting a new standard for broker-dealers.

United statesStates heraldJustice dalilaa wendlandtWilliam galvinGalvin broad brush of authorityMassachusett supreme judicial courtStrict fiduciary duty for robinhoodFiduciary duty for robinhoodCommonwealth secretary william galvinUnited states heraldBroad brushMassachusetts uniform securities actWar between galvin

Raymond James to Pay $12M+ to Settle Unreasonable Commission Claims

Raymond James will pay more than $12 million to settle charges of 'unreasonable commissions' on transactions, according to state regulators.

United statesBrett olinSteve hollisterClothilde hewlettWilliam galvinRaymond jameRaymond jamesCalifornia department of financial protectionAmerican securities administrators associationEnforcement section coCalifornia departmentFinancial protectionGolden stateNorth american securities administratorsCommonwealth secretary william galvinSection co chair brett olin

Vanguard to pay tax bills for target date fund investors

Capital gains distributions running to the hundreds of thousands of dollars hit certain clients with painful payments due to the firm's flub, a regulator says.

United statesDaniel wienerEmily farrellJason zweigWilliam galvinSmall investor protection fundMassachusetts securities divisionWall streetMain streetCommonwealth secretary william galvinMassachusetts based adviser investmentsIndependent adviserAmerican fundsSmall investor protectionRegulation and complianceTarget date funds

Galvin: Fidelity Failed to Vet Applicants for Options & Margin Trading

In some cases, applicants claimed they’d gained years of experience in just a few days.

United statesWilliam galvinFidelity brokerage servicesCentral review teamSecurities divisionCommonwealth secretary william galvin

Massachusetts millionaire tax plan challenged by tech council

Opponents of the plan filed a lawsuit claiming a state summary of a November ballot question misleads voters.

New yorkUnited statesNew jerseyDistrict of columbiaMassachusetts state houseDonald trumpWilliam galvinChristopher andersonElon muskChristopherr andersonTim graham gettyKevin martinMaura healeyCarl icahnSupreme judicial courtSupreme judicial court suffolk

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