Mark Schoeff Jr.

Mark Schoeff Jr. covers Capitol Hill and regulatory agencies for InvestmentNews. A former Senate aide, he’s seen firsthand the best and worst of Washington since the end of the Bush 41 administration. An Indiana native, he’s a victim of capture himself — by the capital’s sport teams — becoming a Nationals, Wizards and Skins fan.

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Displaying 2027 results

Topic

Former baseball star Angel Pagan wins $1.7 million arbitration award against Merrill Lynch

Case revolved around investments in Puerto Rican bonds made by the former MLB star

Topic

Small brokers push bill to ease audit rules despite challenging political environment

Legislation impacting financial advisers tries to get traction amid impeachment, election

Topic

Finra names Jessica Hopper head of enforcement

The longtime Finra official served as acting enforcement chief since September

Topic

Finra fines Prudential $1M over sloppy retirement-plan information

Regulator says flawed communications left plan participants in dark about investment costs

Topic

Regulators crack down on teacher pension plans rife with conflicts

Experts: Recent Delaware settlement a sign of things to come

Topic

Answers to the SEC’s Reg BI FAQs depend on facts, circumstances

When the CFP Board provides guidance for its fiduciary standard, it uses case studies

Topic

Finra probes brokerage bank sweep accounts as commissions dwindle

Expert: Interest rate discussions with clients ‘can be problematic’

Topic

Finra outlines questions firms must answer on Reg BI compliance

Regulator also highlights private placements, digital communications and bank sweeps as priorities

Topic

David Tittsworth, longtime leader of Investment Adviser Association, dies

At 2012 congressional hearing, he helped derail bill on Finra oversight of advisers

Topic

Advice-sector coalition seeks legislation to expand pass-through deduction to advisers

Brokerage firms and broker and adviser associations ask lawmakers for ‘clarifying legislation’

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