Former Marcum Wealth managing director Wendy Eldridge alleged gender bias and shareholder oppression, with claims also tied to earlier Hightower acquisition talks before Marcum was sold to Wealth Enhancement last year.
Agency veteran returns to helm 1,000+ staff as regulator sharpens focus on investor harm.
“The monitoring systems this firm had in place were insufficient to detect unsuitable sales of high-risk investments,” the regulator said.
Record tips and whistleblower payouts highlight SEC’s intensified enforcement push.
If robots are taking jobs, the argument goes, they should pay into the system those jobs used to support — and CEO Sam Altman is now making that case to Washington.
The firms allege a single filing triggered a chain reaction that shut them out
The two firms are among the most prominent in the retail securities industry and financial advice market today.
Owner and CEO Vincent Camarda pleaded guilty to securities fraud after allegedly funneling client money into a mining venture and his son's coffee shop – while pocketing the difference
Complaint describes yearslong pattern of transfers allegedly diverted to personal and business expenses.
New levy on seven‑figure incomes could reshape residency, compensation and planning conversations for the Pacific state’s wealthiest clients.
A compliance officer, a mouse-jiggling device, and over $530K in alleged insider profits.
Government-backed savings program gains early traction with strong family participation
Private markets have remained out of reach for the average American saver until now, says Daniel Cahill, head of U.S. defined contribution at asset manager Partners Group.
The investors' own paperwork worked against them in the sentence reduction ruling
The self-regulator says the opt-in hub will help firms swap indicators of compromise and fraud signals faster as losses keep climbing.
Proposed FinCEN rule sets 10–30% awards and protections to boost reporting of illicit activity.
Judge Margaret “Meg” Ryan recently stepped down as acting head of the SEC’s Enforcement Division.
The regulator has overhauled the form used for new member applications.
Brooklynn Chandler Willy, 46, was the owner of a San Antonio based company named Queen B Advisors.
The proposal, which offers plan sponsors a process-based safe harbor to curb ERISA lawsuits, comes as private-credit volatility raises fresh questions for advisors and their clients.
