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Galvin Fines Fidelity For Rubber-Stamping Options Applications

Massachusetts Commonwealth Sec. Galvin fined Fidelity Brokerage Services for allegedly "rubber-stamping" options trading applications from customers.

United statesBay stateMichael aaltoWilliam galvinMassachusetts securities divisionGalvin securities divisionFidelity brokerage serviceCentral review teamSecurities division

Appeals court upholds dismissal of ERISA suit against CommonSpirit Health

The 6th U.S. Circuit Court of Appeals agreed with a federal district court's dismissal of an ERISA complaint against CommonSpirit Health.

United statesYosaun smithMichael aaltoDavidl bunningCatholic healthFidelity investmentsCommonspirit healthUs circuit courtDistrict courtUs district courtEmployee retirement income security actSpirit healthFreedom fundsFidelity freedom fundsFidelity freedom index fundsCatholic health initiatives

RIA referrals under scrutiny in lawsuit against Creative Planning

A former executive with the firm claims it and other defendants Schwab, TD and Fidelity are engaging in a conspiracy and violating investor protections.

Oakbrook terraceUnited statesMichael aaltoChavez oneilSpencer faneMayura hooperKeith beverlyBernie clarkMelissa shermanCasey gunkelStephena grecoPeter malloukKathleen chavezFidelity investmentsDepartment of justiceAsset group

Two years later, financial services firms still searching for balance on remote work

The financial services industry is trying to figure out how to balance remote work and what normal looks like in the wake of the pandemic.

Los angeles countyUnited statesLong beachMichael aaltoBrian lewbartPete greenleyKarl wagnerLaura bulmanRic edelmanFidelity investmentsVanguard groupGoldman sachsBiondo groupCharles schwab corpDigital assets council of financial professionalsT rowe price associates

Fidelity, Morgan Stanley Prepare for Continued COVID-19 Concerns

BOSTON/NEW YORK Asset management firm Fidelity Investments on Monday said it had paused some voluntary return-to-office plans while Morgan .

New yorkUnited statesRhode islandNew hampshireUnited kingdomCity ofMorgan stanleyRichard gnoddeMichael aaltoJames gormanGoldman sachs internationalUs centers for diseaseDeutsche bankFidelity investmentsNeal millsNew england

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