Convicted by an LA jury on 13 of 17 counts, the Citron Research founder and activist short seller now is now facing a statutory 25-year federal prison sentence.
“We fear that it will be ‘open season’ from the plaintiffs’ bar on plan fiduciaries who are early adopters of alternative investments,” said Tim Collins, a partner at Duane Morris.
Industry report shows that there are now fewer firms as consolidation intensifies.
He swore the bots were real, the FDIC had it covered - the SEC says neither was true
One firm controls 30% of options volume – and just lost this one
IRI, SIFMA, and MFA are requesting targeted clarifications on how annuities and alternative assets fit under the Labor Department's proposed fiduciary safe harbor.
New law halts creditors from pursuing debts accumulated through fraud, force, or intimidation against vulnerable people.
The agency's proposal to rescind the contentious 2024 Biden-era mandate opens up a 60-day public comment period.
A FINRA arbitration panel sided with a former wealth manager fired over a $642 deli platter and a disputed client event.
The Long Island-based firm, previously penalized by FINRA, is a longtime purveyor of alternative investments.
KKR, Elephant, and the founder dodged control-group claims – here's why it stuck.
California Governor Gavin Newsom and New York's Alex Bores target Trump's $1.8 billion anti-weaponization fund with full clawback tax proposals targeting resident recipients.
Chirayu Rana’s lawsuit has garnered massive attention on Wall Street.
Terrance L. Hayes was arrested April 20 and charged with two felonies.
The "Crypto Mom" departure would leave the SEC commission with just two members and no Democratic commissioners on the panel.
A former Alabama investment advisor and ex-Kestra rep has been permanently barred and penalized after clients he promised to protect got caught in a $2.6 million fraud.
A private partnership, Edward Jones is a giant in the retail brokerage industry with more than 20,000 financial advisors.
Paul Atkins has asked staff to solicit public comment on novel ETFs, pausing the clock on as many as 24 filings linked to the booming event contracts market.
Six apartment deals, one "big account," and $2.7M in undocumented insider loans. Now the lawsuit lands
The Illinois order refers to Brandon Ellington’s investment program as a “Ponzi-like scheme.”
