Although it applies only in Georgia, other courts and industry panels could refer to the ruling in similar cases.
Financial reform group calls on regulator to make more fundamental changes.
Edward Lee Moody and CM Capital Management are charged with defrauding 60 investors.
Massachusetts looking into private placement sales.
The Securities and Exchange Commission alleges that Bruce Hauptman misappropriated the money from a fund he managed.
Suit says Schwab's adviser services division failed to file suspicious activity reports in 2012-13.
Regulator says most of the money was spent on improving regulatory functions and compliance by member firms.
Regulator says firm ignored churning by three reps who have been charged with fraud
Departing commissioner doesn't foresee final vote on proposal until 2019.
SEC says firm did not have policies and procedures in place to prevent misuse of funds
The rule would create a second, non-fiduciary version of the term 'best interest.'
Promotional flyer depicts the 'intimate relationship' advisers have with clients
SIFMA, Republican senator take issue with requiring Finra to set up fund to pay claims.
Rule is expected to give exchange-traded funds a boost, but complex products wouldn't be eligible for the streamlined process
He prevails over a candidate backed by Finra's board to fill one of three large-firm positions.
Executive has served as the chair of the SEC, Finra and the CFTC
CFP Board, FSI oppose new law prohibiting use of terms "certification" or "registration" for credentials not approved by state.
Kyusun Kim also allegedly falsified elderly customers' wealth to allow sales
The claimant's broker at UBS has 183 disclosures on his BrokerCheck report.
Arbitration panel says firm failed to supervise former broker's unsuitable transactions.
