Jeffery Joseph Kelly was sanctioned for not providing documents to Finra during its investigation.
Rep. Maxine Waters, the top panel Democrat, opposes relaxing oversight.
In letter to SEC chairman Jay Clayton, lawmakers say agency's proposal is weaker than standard Congress laid out in Dodd-Frank.
Luke A. Eddy was suspended for three months and fined $5,000
American Securities Association will represent sector before Congress, regulators
Cloud-based data storage, virtual offices protect client accounts even as the storm threatens to devastate physical property
Michael A. Bressman gained $700,000 from placing winning trades into his own personal accounts, the government charges.
The firm sells illiquid, high-risk and high-commission alternative investments.
Testing by Financial Planning Coalition, Consumer Federation of America and AARP uncovers problems.
SEC says bank customers were directed to affiliated programs.
New bill eases rules around open multiple-employer plans by allowing more employers to band together to offer a common retirement plan.
Disgorgement and penalties in SEC case total $938,194; Finra imposes $800,000 fine.
Former broker charged with securities fraud and unlawful distribution of HempCoin.
Path to three votes for final rule may not go through Democrats
The brokers worked for the same broker-dealer, which has since been expelled from the industry, at the time of their respective alleged frauds.
Investors placed in the wrong mutual fund share classes were overcharged by more than $260,000.
Policy effectively creates a dual approach for Merrill's 17,000-plus advisers.
Last year, the SEC charged the Woodbridge Group of Companies with running a $1.2 billion Ponzi scheme that targeted 8,400 investors.
Edward O. Daniel was barred after declining to participate in Finra investigation into a customer dispute that was settled for $225,000.
Negative returns and fiduciary risk are positively correlated for 401(k) fiduciaries.
