Tameem Habib applied for the loan without telling his firm, J.P. Morgan Securities, that he had an outside business.
US SIF Forum hears naming restrictions and disclosures for ESG dabblers are up for debate.
Treasury chief says it would be reasonable for Congress to regulate what assets could be included in tax-favored retirement vehicles.
The Manhattan U.S. attorney's office is reportedly investigating allegations the firm conducted sham job interviews of minority candidates to satisfy in-house diversity guidelines.
A new study finds that tax incentives for saving for retirement primarily benefit high-income households.
Lisa Gomez is poised to become DOL assistant secretary and head of the Employee Benefits Security Administration, while Jaime Lizárraga and Mark Uyeda are set to join the Securities and Exchange Commission.
Bill Hamm of IFP Securities said the SEC started its inquiries last year into broker-dealers that had sold GWG bonds.
SEC Chair Gary Gensler is proposing sweeping changes to the rules underpinning the U.S. stock market, including a possible auction mechanism that would help retailer investors get the best pricing for their orders.
While the firm has prevailed in some cases involving its options trading strategy. its losses are adding up, too.
A second-generation enrolled retirement plan agent explains how he helps companies smooth out plan problems with the IRS.
While chances of passage are slim ahead of November’s midterm elections, it could act as a starting point for negotiations next year.
Fees, financial literacy and the freedom to work as an independent contractor are all under debate in state legislatures — and relevant to the growth of advisers' practices
Changes would impact the exchange businesses which display prices and aggregate trading data.
Three clients allege the brokerage didn’t give them the best prices for their orders.
A NASAA model rule gives states the ability to yank the license of a brokerage or advisory firm that dodges an arbitration award or other judgment.
Many trade groups representing financial advisers have donated to at least one lawmaker who objected to certifying the 2020 presidential election.
The SEC's 'Investomania' videos are an attempt to encourage investors to research before investing, but some are upset by the videos' references to meme stocks and crypto.
ForUsAll, a 401(k) provider that specializes in alternative investments, alleges that Labor exceeded its authority by trying to institute an effective ban.
John Sherman Jumper, a 17-year veteran of the securities industry, was based in Memphis, Tennessee.
The restitution settles Finra charges that the firm recommended Class C shares with ongoing fees when more affordable Class A shares were available.
