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.
Digital tokens like Bitcoin and Ethereum are classified as property by the Internal Revenue Service and taxed like stocks and bonds.
President Joe Biden plans to nominate Jaime Lizarraga, a senior adviser to House Speaker Nancy Pelosi, and Mark Uyeda, who has spent a chunk of his career at the SEC.
Many provisions in the House Education and Labor Committee bill have only Democratic backing, which reduces their chances of being part of a bigger retirement savings measure later this year.
The broker, Marianne O'Shee Smith, a 34-year veteran of the securities industry, used $45,100 she had received from three customers, all senior citizens.
The senator expresseed concern that the proposal would unfairly burden carbon-intensive energy companies.
The Federal Reserve banned the former bank employees for fraudulently obtaining loans designed to provide economic relief to small businesses during the pandemic.
The settlement, filed in U.S. District Court for the District of Minnesota, relates to the 401(k) plan's use of the bank's own offerings.
Petitions to confirm or vacate awards are now more likely to be heard in state courts, where judges tend to be more skeptical of arbitration than their federal counterparts.
Massachusetts adviser Richard Duncan got two clients to invest in a scam that originated in Turkey.
