Two trusts claim the same brokerage account — and an advisor lands in the crossfire
A $4 IPO stock hit $31 before crashing 80% — and regulators are watching.
Regulator says Avinesh Shankar used electronic signature software to submit 115 annuity applications tied to 64 customers.
New IRS data hold lessons for proposals to tax the wealthy in California, New York and other Blue states.
Roger Roemmich worked at Dempsey Lord Smith from 2016 to 2020, moved to Alexander Capital, and then resigned last year.
FINRA enforcement actions spiked in the years after the 2008 credit crisis but have fallen steadily over the past decade.
Joint SEC–CFTC move clarifies treatment of digital commodities, collectibles, tools, stablecoins and tokenized securities.
State filing outlines 20 misdemeanor counts tied to alleged illegal betting markets.
Ruling vacates Labor Department’s 2024 fiduciary package and related exemptions, keeping existing Reg BI and state best-interest standards in place.
Democrats are asking whether the Attorney General properly recused herself from cases involving clients of her brother, Brad Bondi.
Planning organizations including CFP Board and the FPA support updating the SEC’s small-entity yardstick while pressing for an employee-based standard.
Over 85 million pledged shares allegedly sold through an unauthorized account at the bank
Judge Margaret “Meg” Ryan has been acting head of the SEC’s enforcement division since Sept. 2, 2025.
“The definition is so out of date,” SEC Commissioner Hester Peirce told InvestmentNews.
Emerson Equity “was substantively involved” with Inspired Healthcare and the operation of its business and fundraising, according to a court filing.
Big banks and watchdogs are racing to catch up as the action on prediction platforms blurs lines between market intelligence and personal bets.
Industry group says $1B AUM line reflects inflation, rising regulation, and evolving advisory business models.
Advisors should expect some curve balls as new deductions, delayed withholding changes, and later filing patterns shape this year’s returns.
The group backs short transaction delays and emergency‑contact options but warns against broad data collection and long holds that could lock seniors out of accounts.
The change is in response to member concerns about reporting certain overnight activity.
