Former adviser Barry Bekkedam will pay a $100,000 fine plus interest
NASAA model rule would require IARs to complete CE to close the regulatory gap with brokers
Ed Slott separates fact from fiction about how the CARES Act will affect clients’ retirement savings
Lester Burroughs allegedly misappropriated more than $500,000 from clients' accounts
The investment firm will pay $12.5 million to put a 2015 case behind it, court records show
Regulator says Old Ironsides distributed materials with misleading information
Postponement fees will be waived for hearings scheduled from July 6 through Sept. 4
The end of the formal initiative failed to soothe worries about future enforcement
Pharmaceutical Product Development mismanaged its 401(k) plan, opting for costlier investments than necessary, plaintiffs say
Over two years, the agency's initiative returned more than $139 million to investors
The brokerage will level the pay its advisers receive for the sale of some share classes, among other changes
Phillip W. Conley of West Virginia is said to have lied to investors in a Ponzi-like scheme
Other compliance experts say it’s not necessary unless the firm’s financial problems extend beyond virus stress
The agency’s emergency efforts to rescue the economy are already being viewed as uncharted territory
The insurance giant allegedly violated ERISA by failing to rein in record keeping costs
Charges against the school's retirement plan related to fees echoed similar cases brought against other universities
The Fed's signal alone was enough to loosen the cash crunch that had been squeezing global credit markets
Governor extends the deadline for regulations until 90 days after the health emergency ends
The payments present opportunities for scams, identity theft and low-tech crimes such as stealing checks from mailboxes
But an investor advocate sees the proposal as a ‘brazen effort’ to use the pandemic to promote the annuity sector
