Tagged: Arkansas Securities Department

SEC, Labor Seek Compromise on Fiduciary Duties

SEC, Labor Seek Compromise on Fiduciary Duties

Banking & FinanceTechnology & TelecomCover Story

Bill Sowell, a registered investment adviser in North Little Rock, embraces a legal obligation to put clients’ financial interests first. And he’s frustrated that the requirement doesn’t apply to everyone across the investing industry. read more >

Are You My Fiduciary?

Are You My Fiduciary?

Andy Terry is a professor of finance in the School of Business at the University of Arkansas at Little Rock. He’s also a chartered financial analyst and a registered investment adviser, and a friend’s infuriating experience has prompted him to expand that part of his professional life. read more >

Steele Stephens Could Still Face Fines over Shoffner Bribes

WhispersBanking & FinanceLegal

Federal prosecutors gave Steele Stephens immunity from prosecution and let him keep the millions in bond sales commissions he received from the business relationship that resulted in the criminal conviction of former state Treasurer Martha Shoffner. read more >

Motivating Factors (Gwen Moritz Editor's Note)

Motivating Factors (Gwen Moritz Editor's Note)

OpinionLegalEditor's Note

My high school journalism teacher taught me about five Ws and an H — who, what, when, where, why and how. Approximately 1,000 years later, I’ve concluded that that fifth W is the most problematic. read more >