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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. ....

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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. ....

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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. ....

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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. ....

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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 . ....

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