Regulators have taken numerous actions against metals dealers that target older customers through TV ads.
Michigan RIA owner says case is a 'true David and Goliath situation' and that company name has caused significant confusion in the market.
A broker in the firm's Garden City, New York, office put way too much WisdomTree stock in his aunt's portfolio.
A case against an advisor and insurance agent over his failure to disclose commissions could have wider consequences.
Compliance experts have their say after SEC's first enforcement action based on new marketing rule highlights dangers of hypothetical-performance ads.
Bill St. Louis, a long-time Finra executive, succeeds Christopher Kelly, who had served as acting head of enforcement since February.
The term is used and misused to the extent that it has lost meaning — but it's not going away, and it could be a mistake to ignore it.
Regulations that go final during the summer or later in an election year can be vulnerable to a procedure that lets the new Congress disapprove rules approved during the previous Congress.
With the SEC preparing to approve a number of major proposals next year, firms face added costs and a huge amount of compliance work.
The AFGE represents 43,000 employees of the Social Security Administration.
Unnamed SEC sources signal the regulator is considering approval of new funds.
Alabama-based advisor denies he did anything wrong in a statement on his IAPD profile.
The California Public Employees’ Retirement System has turned over thousands of pages of documents in recent months to Congress.
'As much as I might want to see some relief for my clients and myself, there should be a balance between revenue and expenses in the federal budget,' one advisor says.
Authorities get tough over green claims.
The case, which dates back to 2006 and 2007, relates to the issuance, underwriting and sale of the securities.
Securities attorney hails 'good day for Finra and an even better day for investors.'
About two-thirds of respondents to a Bloomberg survey say they'll stop using ESG in conversations with clients but continue to incorporate it in their business.
State launches 9% rate for high earners.
Even as the bank removes Credit Suisse nameplates, more legal storm clouds roll in.
