Regulators say Ponzi scheme claimed access to shows including Adele, Justin Bieber and 'Hamilton.'
She is also expected to set the agenda for ETFs, an area in which she has expertise from her previous time at the SEC.
Joseph Yanofsky arranged the buys without getting customers' approval.
Settlement brings recovery for victims of Bernard Madoff's Ponzi scheme to about 72 cents for every dollar in principal that was wiped out.
New government report distorts facts and costs of home equity loans for seniors.
Continuity plans are being activated and emails sent out to clients about precautions they should take to safeguard their important records.
Authorities say he and clients made millions trading on secret tips about pending mergers.
Advisers who moved to other broker-dealers after MetLife sold to Massachusetts Mutual are seeing trailing commissions cut on VA and fixed annuity contracts.
She cites financial company leaders who have said they are prepared to comply with rule as is.
Brokers and staff in Baton Rouge, La., move to firm's employee unit.
After a long stretch of calm, market-watchers brace for 'bumpy' ride.
This month's edition kicks off with the big news that Personal Capital has crossed $5B of AUM.
A firm's culture should be embraced and incorporated into daily interactions with clients.
Regular training can help committee members understand their responsibilities to plan participants.
The SEC or Congress should consider forming an independent commission to consider Finra's future.
The fee squeeze is at a tipping point, and 401(k) advisers need to adapt by being more diligent in assessing their profit margins and value proposition.
Most industries will go through four stages of consolidation as they mature over a 25-year period. Here's where record keepers and 401(k) advisers stand.
The regulator wields enormous power over the securities industry 
with little meaningful oversight.
