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Search Results For: securities and exchange commission
SEC charges RIA and CEO with putting $19 million of client money into risky investments
Bills to reform adviser regulation, increase sophisticated investors and protect seniors pass House
SEC censures, bars and penalizes RIA for misappropriation of more than $121,000
Vanguard expands commission-free trading to 1,800 ETFs
Alexander Capital, censured by SEC, will pay $411,000 for failure to supervise
Pastor and pal indicted over fraudulent financial planning
Should investment advisers be put on a pedestal when it comes to advice standards?
Merrill Lynch ordered to pay $15 million to settle mortgage securities charges
SEC bars New Jersey RIA over securities, adviser fraud
Advisers encourage investors to take fiduciary into their own hands
Hybrids considering dumping Finra and working as RIAs exclusively
Hurry up and kill the DOL fiduciary rule already, insurance groups tell 5th Circuit
Regulators gunning for brokers and advisers who sold $1.2 billion Ponzi
Demand grows for structured notes
5th Circuit mandate to vacate DOL fiduciary rule ‘still pending’
SEC charges former Long Island broker with $8 million scam
SEC bars Long Island broker for insider trading
SEC official addresses criticism of best-interest standard for brokers
David Lerner compliance officer loses ‘nonsensical’ and ‘specious’ appeal over reporting tax liens
State-registered investment advisers, mostly one and two-person offices, total 17,688
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