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The brokerage firm will pay a $2.44 million penalty and admit to wrongdoing in a deal to settle civil charges over shoddy risk controls that let thousands of overseas traders gain access to U.S...
A Republican commissioner takes issue with calls to draw limits on who can be an accredited investor based on a person's financial sophistication and trading experience.
U.S. regulators on Thursday suspended trading in four small stocks of companies that they said have been touting the development of products to prevent or treat the Ebola virus.
A Finra arbitration panel rules in favor of the retirees, who say they were told a "total return" model would increase their S&P 500 gains while reducing the risks of trading equities.
With part of Nicholas Schorsch’s real estate empire fracturing into warring factions, a chunk of his fortune may depend on his RCS Capital distancing itself from ARCP accounting problems.
The commission launched a new program to increase investor awareness of frauds, but it does not highlight cases involving lack of suitability.
A U.S. district court judge ordered a company to pay $3.6 million to victims of investment advisor representative Larry Dearman.
The SEC is trying to find ways of increasing retail investor use of the Investment Adviser Public Disclosure database.
The SEC received more than 3,500 tips in fiscal year 2014, and paid a record $30 million to one whistleblower.
Cyber assaults against financial services companies nearly doubled this year, according to a new report.