Tag: William Galvin

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Robinhood warns judge of dire industry consequences from Massachusetts case

Added to Collection on: 2021-05-26 20:37:30

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Robinhood
Service companies
Companies
Finance
Fiduciary
William Galvin
Fidelity Investments
Galvin
U.S. Securities and Exchange Commission
GameStop short squeeze
Robinhood Financial LLC
Timothy Burke
Lewis Bockius

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Gamestop – 'Roaring Kitty' in GameStop saga testifies before Massachusetts regulators

Added to Collection on: 2021-07-10 01:52:30

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Financial markets
Finance
Stock market
Robinhood
Short selling
Keith Gill
GameStop
R/WallStreetBets
Reddit
MassMutual
Broker-dealer
Financial Industry Regulatory Authority
William Galvin
GameStop Corp.

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MassMutual to Pay $4M for Failing to Identify Keith Gill's Social Persona - Wealth Management

Added to Collection on: 2021-09-16 19:29:56

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Financial markets
Robinhood
Short selling
Finance
Madoff investment scandal
Keith Gill
MassMutual
Financial services
Corporate crime
GameStop
R/WallStreetBets
Financial Industry Regulatory Authority
William Galvin
MML Investors Services

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Massachusetts fines MassMutual $4.75 million for failing to supervise 'Roaring Kitty,' other ... - WTVB

Added to Collection on: 2021-09-16 16:07:30

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Madoff investment scandal
MassMutual
Keith Gill
Financial services
GameStop
William Galvin
Galvin
Finance
Service industries
Nate Raymond
MML Investors Services
GameStop Corp.

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MassMutual fined $4 million in Massachusetts for failing to supervise 'Roaring Kitty,' agents - KFGO

Added to Collection on: 2021-09-16 15:22:30

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Madoff investment scandal
Keith Gill
MassMutual
GameStop
Financial services
William Galvin
Finance
Service industries
GameStop Corp.

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Galvin examining 'surprise' taxes on target-date funds - InvestmentNews

Added to Collection on: 2022-01-26 01:05:34

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Finance
Money
Investment
Financial markets
Brokerage firms
Mutual funds
Institutional investors
Broker-dealer
Fixed income
Security
Short
Securities market participants
William Galvin

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Massachusetts Investigates Potential Target Day Fund Tax Issues - Texas News Today

Added to Collection on: 2022-01-25 22:32:41

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Finance
Money
Economy
Investment funds
Institutional investors
Mutual funds
Target date fund
401
Capital gains tax
Index fund
William Galvin
Vanguard Group

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Mass. Secretary of State launches sweep of target-date fund offerings | Reuters

Added to Collection on: 2022-01-25 20:58:58

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Finance
Mutual funds
Investment
Investment fund
BlackRock
William Galvin

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Mass. Secretary of State launches sweep of target-date fund offerings - Yahoo News

Added to Collection on: 2022-01-25 16:33:34

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Finance
Investment
Mutual funds
Money
Institutional investors
The Vanguard Group
BlackRock
Repurchase agreement
Investment fund
William Galvin
Ross Kerber
Vanguard Group

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Fidelity Fined For "Rubber-Stamping" Options Trading Applications - Wealth Management

Added to Collection on: 2023-10-02 20:46:50

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Corporate crime
Share trading
Criminal investigation
Confidence tricks
William Galvin
FIDELITY BROKERAGE SERVICES

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