New report highlights evolving litigation landscape including AI disclosures, ESG accountability claims.
Secret “Q system” ledger, 10‑year clawback and tough bans put schemers on notice
As the OpenArc litigation drags on, Merrill Lynch is absorbing another recruiting blow with a $1 billion advisor team defecting to Janney Montgomery Scott.
False contract claims, inflated leasing numbers, and millions in fees investors never knew about.
The guaranteed returns stopped. The excuses didn't.
Governor outlines a push for greater transparency in bank supervision and capital rules, signaling potential impacts for lending conditions, financial markets and investor stability.
The new rule would give certain funds an additional 15 days to file monthly portfolio-related reports, and would reverse the 2024 shift to publication more frequent than quarterly.
Regulator’s affirmation follows an eyewatering level of wagers on the Super Bowl.
Fed official says inflation risks persist and cautions AI won’t justify lower interest rates.
The new interpretations address moving an offering between intermediary platforms; issuer eligibility where Exchange Act reporting has ended; how the 12 month crowdfunding offering cap is measured; and other definitions and filings.
Real advisor names, AI deepfake videos, and a 94% single-day crash — all allegedly connected.
He ranked in the top ten and accumulated nearly $900 million in assets. Then he asked for help — and lost his job.
Fed vice chair Bowman urges capital rule tweaks to draw lenders back, boost ties.
The order for a ban follows guilty plea to wire and investment adviser fraud, with more than $3 million taken from five clients in a multiyear scheme.
The person supposed to prevent fraud orchestrated it. Nobody was watching the watchdog.
Money flowed to insiders, not crypto exchanges. Court says banks owe no duty to non-customers.
Frozen wallets, missing millions, and undisclosed insider fees fuel the allegations.
The SEC said the alleged did not invest client funds as represented and instead misappropriated the proceeds, including making $940,000 in Ponzi-like payments and spending nearly $3.2 million on personal expenses.
The SEC said the alleged did not invest client funds as represented and instead misappropriated the proceeds, including making $940,000 in Ponzi-like payments and spending nearly $3.2 million on personal expenses.
The California DFPI restated existing annual filing and financial reporting obligations for California-registered investment advisors, regarding registration, financials and audits.
