Tony Barouti, a broker registered with Emerson Equity, faces two investor complaints alleging $1.37 million in damages, according to his BrokerCheck profile.
Shawn Parker of Schaumburg, Illinois, falsified $25,000 in expenses, regulator says.
A bill in Tennessee would eliminate a privilege tax levied on investment advisers. A proposal to tax financial advice was stopped in Kentucky.
The Labor Department gave the Swiss bank's affiliates a one-year extension of a key designation that allows them to manage U.S. pension funds, but says it will look at whether to revoke that due to the bank's misconduct.
The SEC's probe of GWG spilled over to include the sales practices of some of the 145 broker-dealers that sold the bonds, according to bankruptcy filings.
With the Biden administration having let them down, the marijuana industry is now betting on a Republican takeover of Congress.
The rep, Philip Riposo of New Bedford, Massachusetts, admitted to creating and providing clients with phony statements.
Shawn E. Good, from Wilmington, North Carolina, had clients send funds to his personal bank account to supposedly make low-risk investments in real-estate development projects,
Three in Las Vegas charged in scheme involving purported personal injury settlements.
South Florida resident German Nino, who faces up to 60 years in jail, is scheduled for sentencing in June.
The court refused to review a New York-led constitutional challenge to the $10,000 cap on state and local tax deductions imposed in the 2017 tax law.
The SEC's growing political rift reflects Washington's widening partisanship and threatens to diminish the agency's stature.
The agency's cautioning against using crypto in retirement accounts violates current law and sidesteps public input, the trade associations argue.
In a set of frequently asked questions about Form CRS, the SEC cautions investment advisers about saying that they're held to a fiduciary standard.
The former rep, Joseph C. DeNicola, alleged wrongful termination, defamation and unpaid compensation.
The proposed legislation's popular provisions include increasing the RMD age to 75 and allowing employers to match student loan payments with retirement plan contributions.
Almost everyone who’s responded wants to stay in court. But half of the group didn’t respond at all, which means they’re leaving the lawsuit.
Investment Adviser Association, American Securities Association say advisers need more than 48 hours to report breaches to SEC.
In its appeal, the firm argues that the judge was wrong and that the arbitration decision it had initially won against a client should stand.
The agency gave its blessing to the Teucrium Bitcoin Futures Fund application which was filed under the Securities Act of 1933.
