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Articles tagged "William Galvin"


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William Galvin: Vanguard’s deliberate decision [benefited] ultra-wealthy shareholders over main street investors.

Massachusetts and Vanguard Group reach interesting settlement that gives the $8-trillion manager a shot at avoiding 49 copycat suits , quick cash for the state and 65% of a loaf for hapless investors

The William Galvin-driven settlement covers the state's legal fees and sets up restitution fund and a state pay-out, but a pending Pennsylvania lawsuit is likely the first of many to follow.

July 8, 2022 at 2:22 AM

Massachusetts regulator William Galvin's reputation precedes him in taking a look at Fidelity's 'infrastructure' fee.

Fidelity's 2016 'secret' fee fix for 'broken' 401(k) business model may spark fresh state and federal 401(k) crackdown on heels of investor civil suits

The DOL, William Galvin and a class action hang over the Boston 401(k) king's 15-basis-point fee, but experts think Fidelity -- its squirrel-y disclosure aside-- can fight the charges

March 18, 2019 at 9:28 PM

Mark Mensack: Bachus has ignored my own whistle-blower allegations against Morgan Stanley, which relate to what 401(k) expert Edward Siedle describes as fraud that 'makes Madoff look like chicken feed.'

Why Bachus' SRO-that-must-not-be-named would prove a tyrant to RIAs

The author says that as a private corporation endowed with governmental powers, FINRA is unsafe at any speed

August 24, 2012 at 4:02 PM

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