Barred by Finra, Donald Hunter set up a private fund that bought shares he had owned personally
Client claims rep used subterfuge to obtain consent for transactions
The market dive is likely to result in more early withdrawals and borrowing from retirement plans, particularly by people who don't have access to financial advice
The measure includes $500 billion to back loans and assistance to companies and more than $360 billion to aid small businesses
Working from home would mean depending on telephone, video or online outreach
Former SEC enforcement official says lawmakers should have set up blind trusts or automated trading
The SEC and Finra have posted warnings about frauds that play off the pandemic
Brandon Copeland created a new firm and failed to pay penalty
Programs will remain viable but will take longer to build assets as gig workers and small businesses struggle to stay afloat, leaders said
Democrats voted to reject Majority Leader Mitch McConnell's latest version of the measure
Financial industry also pushes for temporary waiver on required minimum distributions
After the extension, the deadline for filing now matches the deadline for tax payments announced previously
Two lawsuits over plans’ target-date investments were filed in the past week, and there was a major development in another case
James Blake Daughtry was to be questioned about unauthorized trading in customers' accounts
The SEC says in the final rule that it solicited feedback on hypothetical forms
The plan temporarily permits the use of its exchange stabilization fund to guarantee money market funds
Halil Kozi had worked at 18 firms since 1987, and three of those firms were expelled by Finra
The SEC got Reg BI right because it carefully balances consumer protection with investor choice
The company has been sued again over its use of its own products in its retirement plan
The extension gives individuals and many businesses 90 extra days to send checks to the government
