Alleges two reps took client information when they left to start a firm.
Agency says Kimberly Pine Kitts created fake tax documents to cover up thefts.
The agency is working on an oversight regime for exchange-traded funds; it's also asking questions about the indexes that underpin the ETF market.
Winning the lottery seems like a fairy tale, but it's easy for instant millionaires to lose it all.
Firm sold products that seniors didn't understand, Massachusetts state regulator says.
Impact Shares Corp. will partner with nonprofits to create new focused-issue funds.
Consolidators were involved in 22 of the deals, says Echelon Partners.
Four Northeastern states argue that the limit on SALT deductions infringes on their rights
Two of its BetaBuilder funds saw big inflows last week.
Franklin Marone pleaded guilty to perjury and false filings last week.
