Shorter waits for failed SIE and Series 7 candidates take effect Jan. 19, speeding the path to registration
Jim Walesa worked in the securities industry for 39 years before leaving in 2021.
Alleged cash payments, stolen client data, and a court that jumped the gun
State regulators secure $4.4 million from two broker-dealers over unreasonable charges on small-dollar retail equity trades.
Principals reportedly took millions more in pay than disclosed
A family's $2M retirement savings trapped in restricted stock they never chose.
$1.7M invested from an inheritance. Then the phone went dead.
The pre-IPO platform sold $430M in units while allegedly rigging prices behind the scenes.
The hundreds of millions of dollars from a sale of Inspired Healthcare properties does not mean an immediate windfall for investors.
Its SEC filings said one thing - a congressional probe said another.
Sham agreements allegedly padded revenue by 345%.
95.8% of house trades were winners. For clients? The SEC says just 14.9%.
The complaint says Duolingo added friction on purpose, then lied about it.
Investor claims $1.39M loss from mining deals with inflated ROI projections.
Report on Climate Action 100+ signals risk for passive managers' 13G status heading into the 2027 proxy season.
Kenneth Leech pleaded guilty in June to one obstruction charge, and could face six to 12 months in prison.
Not every supervisor triggers the highest liability standard
“I’m seeing more disputes like this between advisors and other advisors at the same practice,” said one industry executive.
A single fintech partner triggered a $68.8M credit hit.
His daughter allegedly got 9 million shares "for services" she never performed.
