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Richard P. Rojeck assumes the role of chair of the Certified Financial Planner Board of Standards' board of directors.
The top U.S. financial risk watchdog pledged to revise the procedures used to designate firms as super-risky after a flood of criticism from insurers and asset managers.
The SEC has charged a Florida financial firm and its manager with stealing $17 million.
A New York financial consultant and an NFL agent are charged with soliciting fraudulant investments in Burger King.
Standard & Poor’s agreed to be suspended from rating the biggest part of the commercial-mortgage bond market and pay almost $80 million to authorities over claims it bent criteria to win business.
Nine groups are asking a Finra task force to hear complaints about the regulatory agency's arbitration process.
Finra's enforcement director said Tuesday the biggest change he has seen since the meltdown is no major orchestrated frauds by large brokerages have cropped up.
Several of the nation’s most influential consumer and labor groups have started an online petition demanding a fiduciary obligation on financial advisors consulting with pension plans and their...
The Dodd-Frank financial reform act will continue to be worked on by the SEC for at least a decade, Securities and Exchange Commissioner Dan Gallagher said Wednesday.
Noah Myers has been sentenced to 40 months for “cherry picking.”
Most investors do not understand how to find a private placement opportunity that would meet their risk profile.
Entrepreneurship can be viewed as an alternative asset class and source of retirement income, maintains columnist and advisor Robert Laura.
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