PIMCO Raises $2B for Asset-Based Private Lending Strategy

Published on October 31, 2024

The firm has been building out its alternatives business in recent years as it expands beyond its bond roots.

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Kentucky Advisor Fined Over Bourbon-Tasting Business

October 31, 2024
The advisor didn't get written approval from Edward Jones but firm members attended a tasting, according to FINRA.      Related StoriesCFP Board's Enforcement Powers Create Major Risks: SIFMALPL Discloses $18M Charge, but No Arnold Updates on Q3 Call6 Firms That Paid Reg BI Fines to SEC in 2024

BofA Says Regulators May Take Action Over Money Laundering, Zelle

October 31, 2024
U.S. regulatory agencies have been digging into consumer complaints about how banks handle reported abuses of the Zelle network.