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The SEC and Finra issued a joint alert for investors to watch out for scamsters peddling penny stocks of businesses that are companies in name only.
A former New York Islanders hockey team co-owner may seek to withdraw his guilty plea to swindling investors after a U.S...
When Aubrey Lee Price's fraud scheme fell apart, he faked his own suicide to avoid being caught.
Fraudsters appear to be laying the groundwork for scams aimed at investors who hope to make money on the Ebola crisis, state and Canadian securities regulator warned Wednesday.
The SEC has instituted administrative procedures against Sands Brothers Asset Management for allegedly violating the custody rule.
The organization's leaders believe states will need to lead the way and are pushing for licensing in Florida.
Finra has fined Merrill Lynch for allowing short-sellers to dump stocks without making sure they had first arranged to borrow the shares.
Their lawyers are arguing more effectively by showing what fiduciaries should have done but didn’t do, says a senior advisor to the American Society of Pension Professionals & Actuaries.
The SEC has rejected a proposal for the NYSE Arca exchange to list and trade actively managed ETFs that do not have to disclose their holdings on a daily basis.
Finra and Nasaa have been engaged in preliminary discussions about whether to revamp the process that most brokers use for requesting "expungements."
Financial Advisor Blogs
Portfolio Manager Insights
Dorsey Wright says market turbulence has shifted its October ranking of SRI funds and ETFs. + Read more
Advisors can use less correlated investments to help clients protect against losses, especially during the draw-down phase. + Read more