Ray Mignone Associates has offices in Queens, N.Y. and Boynton Beach, Fla.
Bruce Barber failed to provide information about selling unapproved securities.
A technology audit can help ensure your firm is taking the necessary steps to meet new and changing compliance requirements.
Broker William Glaser caused $400,000 loss, claims infirm 76-year-old Navy veteran.
Regulators say Ponzi scheme claimed access to shows including Adele, Justin Bieber and 'Hamilton.'
More startups in pipeline, spurred by potent lure of big financial payouts.
Settlement brings recovery for victims of Bernard Madoff's Ponzi scheme to about 72 cents for every dollar in principal that was wiped out.
The outspoken critic of passive investing plans to make his fund actively managed.
Authorities say he and clients made millions trading on secret tips about pending mergers.
