Larry Holley and Patricia Gray are defendants in parallel SEC civil action.
In addition to the practice of 'masking' trades, the wirehouse went to extremes to cover up the wrongdoing.
One defendant allegedly used some of the stolen money to commission a song about himself and had it played at a Las Vegas nightclub.
Former SEC chairwoman Elisse Walter says their fiduciary duty is largely about disclosing conflicts, not eliminating them.
The new tax law could increase financial challenges for divorced people, but planning opportunities abound.
Now that a new law provides executors with access to digital assets, estate planning needs to include such assets
Hearing panel also permanently bars broker Bruce Zipper for ignoring suspension.
Terry McCoy barred from working in a supervisory capacity and fined $75,000 for missing Ami Forte's churning of elderly client's account.
Bills introduced in House, Senate would remove PCAOB requirement.
The wirehouse's wealth management group announces a fresh look at the ban now that the DOL rule is on the brink of death.
Eric Erb was ordered to pay restitution of $5.4 million to his defrauded clients.
Senators cite reports that the outgoing commissioner pressured Citigroup officials over the bank's decision to limit business with gun firms.
Justice Department didn't petition the Supreme Court to rehear the case. A mandate from the 5th Circuit would finally lay the fiduciary rule to rest.
At SEC meeting, both sides say agency must better define what 'best interests' means.
Regulator says transactions involving ether aren't subject to federal securities rules
Developed by Entreda, the platform will ensure every computer and mobile device is secure when accessing client data.
The move is intended to cut compliance costs for firms as well as make the registration and disclosure process more efficient.
New York State Court of Appeals scales back $11 billion lawsuit against Credit Suisse.
Plan sponsors are left out of the equation because they don't appear to fall within the definition of "retail" investor, legal experts say.
At investor town hall in Atlanta, the agency's head urges clients to press advisers on fees
