Customer claims Merrill's and Bank of America's disclosures were inadequate.
SEC said firm failed to disclose conflicts of interest related to more than $10 million in compensation.
The players were part of a class-action lawsuit over concussion-related brain injuries.
Dallas-based Bitqyck and its founders were charged with fraud and offering unregistered securities.
Promoters of insurance products can say pretty much anything in their marketing materials
Mr. Schlichter, who represents plaintiffs in the suit against MIT, is seeking to have Ms. Johnson testify about a quid-pro-quo allegation.
The Securities and Exchange Commission's new regulation takes effect June 30, 2020.
The agency has taken a more pro-regulatory tone than many expected
Agency said high court's decision in Kokesh only applies to monetary sanctions.
Securities regulator says more than 1,600 agents and managers had lapsed registrations.
Brenda Smith of Philadelphia is also facing SEC civil charges that she lied about the performance of her fund, Broad Reach Capital.
Because they were unconventional, the wills could be challenged.
Finra panel gives UBS investors $4.25 million in damages, $170,000 in costs.
The ruling could mean plan sponsors can force employees into individual arbitration rather than defend a class-action suit.
James L. Beyersdorf also will disgorge $232,000 and pay $189,000 in fines.
Agency will soon issue a rule that will likely require electronic statement delivery unless participants opt out.
Commissioners vote 3-2 to issue guidelines on fund managers' responsibilities in dealing with proxy advisers
In one indication of how rapidly the market is evolving, S&P Dow Jones launched the S&P 500 ESG Index in January.
Large firms are well-situated to comply with the cost standards in the SEC's Reg BI given changes they made to prepare for the DOL fiduciary rule.
Linde Murphy wins small-firm board seat that was also subject of contested election.
