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How to go from ethics awardee to $300K insider trading claims
Goldman Sachs trader denies sharing tips with friends and family.
House bill to double HSA limits slammed as perk for wealthy
Opponents say the legislation would do little to help most people.
Massachusetts, Finra fine Fidelity $1.65 million, alleging lax standards for options trading
Galvin cites Fidelity's “half-hearted and lackadaisical attitude” on approving clients to trade risky securities.
As SEC delays approving spot bitcoin ETFs, ethereum futures get a nod
But advisors who want crypto ETFs are waiting for spot products, observers say.
Wall Street hit with latest wave of fines in SEC WhatsApp probe
Ten firms, including Baird and Interactive Brokers, agreed to pay penalties totaling $79 million for employees' use of unmonitored communications channels on the job.
Bitcoin ETF review delayed again by SEC
The regulator has paused decisions ahead of a government shutdown.
Trump loses appeal of financial fraud case
The former president could be back in court as soon as this Monday, with Trump Tower at risk.
Gold IRA Ponzi paid for luxury cars, esports team, CFTC says
Regal Assets and its owners pilfered $21 million from clients, the CFTC and California DFPI allege.
Broker who sold GWG bonds faces deluge of investor complaints
'I intend to vigorously defend myself against these claims,' broker Tony Barouti states.
SEC agrees on Wall Street WhatsApp settlement, says Reuters
Report says that the deals are now being considered by the firms involved.
House grills Gensler over shutdown, CAT and climate rule
Members of the House Financial Services Committee spent hours criticizing or praising the SEC's work under Chair Gensler.
Finra asks SEC to extend remote inspections program
The rule allowing such inspections is due to expire at the end of this year, but Finra has asked to delay the expiration until June 30.
RIA firm to pay $18M+ after SEC financial conflicts charges
Regulator says multiple conflicts were not disclosed over 5-year period.
UBS wants court to erase $1.9B asset-hiding fine
The asset manager is appealing its conviction for helping wealthy clients with cross-border cash moves.
Trump guilty of financial, insurance fraud
Former president loses New York lawsuit as judge describes 'fantasy world.'
Advisors give here-we-go-again shrug to potential government shutdown
'It feels like déjà vu,' says one advisor. 'This is what they do every time.' The SEC would have to furlough the vast majority of its staff, bringing enforcement and exams almost to a halt.
JPMorgan pays $75M to settle US Virgin Islands suit over Epstein ties
The firm also reached a confidential agreement with former executive Jes Staley.
Berkshire engineering firm gets reprieve in 401(k) suit
Law firm Capozzi Adler has three weeks to file an amended complaint after a judge grants a motion to dismiss.
‘Cash Flow King’ podcast host charged with running $11M Ponzi scheme
Matthew Motil is accused by the SEC of fraudulently raising money from investors.
The DOL’s ESG rule survived in court. Does it matter?
It could take a while for ESG to become more widely available in 401(k)s, even if the political focus on it dies down.
