by
Tracey Longo
TC Services pocketed an extra $900,000 from clients by failing to consider lower-cost options, the SEC said.
by
Tracey Longo
The firm failed to disclose Dave Portnoy's pay for promoting Van Eck's Social Sentiment ETF, the SEC said.
by
Tracey Longo
The agency "has overstepped its authority," Education Committee Chair Bob Good argued.
by
Lydia Beyoud
Companies from a range of industries have been advertising how they're harnessing AI to improve operations.
by
Jacqueline Sergeant
John J. Woods defrauded retirees, military veterans and other clients of their life savings, prosecutors said.
by
Emily Nicolle
Don't forget the wealth burned by collapsed exchanges, bankrupt lending programs and pump-and-dump altcoin trading.
by
Tracey Longo
The enforcement action is part of an ongoing crackdown by the agency against undocumented business communications.
by
Ava Benny-Morrison
The management firm claims it was deceived by Goldman when it was seeking to sell itself in 2022.
by FA Staff
Wendy Eldridge also claims in a lawsuit that her Marcum Wealth partners discriminated against her because she is a woman.
by
Karen DeMasters
The online broker's rates last year were at one point 500 times less than the federal-funds rate, the suit alleges.
by
Tracey Longo
Sen. Ted Cruz called the SEC's proposal a "war on technology."
by FA Staff
Finra alleged that Luke Johnson steered nine clients into $2.35 million worth of unsuitable investments.
by
Emily Graffeo
“We just want to see how they work in the markets,” said Rob Pettman, head of LPL's wealth management solutions.
by
Allyson Versprille
Brian Sewell's alleged fraud scheme cost 15 students about $1.2 million, the SEC said.
by
Tracey Longo
Under the legislation, investors would have the right to choose between arbitration and court action.
by FA Staff
Lee Giobbie of Eastampton, N.J., was one of the first rioters to breach the Capitol building, prosecutors said.
by
Tracey Longo
The groups have formed a coalition to upend a dispute resolution system they say is "stacked against investors."
by
Jennifer Lea Reed
Robert C. Starnes moved $72,000 in client funds to personal accounts, federal prosecutors said.
