David Kugel, who helped create fake securities trades as part of the $17.5 billion Ponzi scheme, received a lighter sentence after helping the prosecution.
The reasons why it's time to close the curtain on the fiduciary movement and move on to finding the answers to more impactful questions
The brokerage industry's lobbying spending dwarfed advisers' in the first quarter, with the DOL fiduciary rule a primary focus.
Here's how to meet the regulator's cybersecurity demands to protect your client's data
GOP senators, including those with oversight of the agency, are among three dozen co-signers of a letter to Labor Secretary Thomas Perez seeking more time to comment.
Two others advisers are admonished
Insurer charged after agency found it deliberately delayed receipt of variable annuities and life insurance orders, resulting in a failure to price them in a timely manner.
First-hand account of the Labor secretary's appearance at a 26-person round table to discuss fiduciary
House and Senate Dems sent separate letters this week to Labor Secretary Thomas Perez asking him to add 45 days to the 75-day comment period.
The asset and wealth management firm was accused of unfair competition and solicitation.
Regulator charges Atlanta firm with improperly recommending alternative investments.
His and fellow commissioner Luis Aguilar's departures could herald a transformation of the agency.
The self-regulator suggest barring offenders, expelling more firms, upping suspensions to two years.
Pair sold $4.3 million of Investments fraudulently marketed as "safe as CDs" and "federally insured," regulator says in suit.
Members of the five-person commission have clashed over whether the regulator unfairly cracks down on such professionals.
Gallagher, Aguilar at odds on how regulator treats CCOs.
SALT conference panel agrees partisanship is worse than ever; blames media.
Chairwoman Mary Jo White says may float proposal that would outline why agency sends cases to its judges.
Along with financial industry, group of legislators ask for extension of public comment period on new proposal.
