by
Tracey Longo
Advisors who use these types of arbitration clauses in client contracts may be violating their fiduciary duties, she said.
by
Sabrina Willmer
Self-regulatory organizations are the latest target of U.S. conservatives pushing to dismantle big government.
by
Sonali Basak
Affirm's Max Levchin says buy-now, pay-later loans offer a better alternative. Federal regulators aren't so sure.
by
Tracey Longo
State regulators say they want to align state rules on ethical broker behavior with federal rules.
by FA Staff
Both advisors were terminated by their former firms, according to Finra.
by FA Staff
The sanctions include $1 million for investors who didn't approve deals but got tax bills anyway.
by
Michael Tobin
Its retail investors will be able to buy slices of corporate bonds just like they do with stocks.
by
Katherine Doherty
The heads of the biggest U.S. banks want to water down capital rule proposals.
by
Tracey Longo
Hearings on the bill are scheduled for this week, but it stands little chance of gaining President Biden's signature.
by FA Staff
Center Street Securities was facing steep claims for its sales of bonds for bankrupt GWG Holdings.
by
Jennifer Lea Reed
Earl D. Miller was ordered to pay over $2 million in restitution, the U.S. Attorney's Office said.
by FA Staff
The firm engaged in 717 instances of Treasury trade manipulation over six years, Finra said.
by FA Staff
The board also promoted a staffer to head the organization's planner recruitment initiatives.
by
Katherine Doherty, Paige Smith
Some of the bank's loan officers allegedly failed to ask applicants about their race, ethnicity and sex and then lied about it.
by
Tracey Longo
Sara Qazi, now at Raymond James, allegedly participated in a preferred stock sale without the wirehouse's permission.
by
Ben Mattlin
Jason Eaton of Burlington was terminated by CUSO Financial Services weeks before the shooting of three men of Palestinian descent.
by
Jacqueline Sergeant
Marguerite Toroian also agreed to pay the SEC more than $1.5M for engaging in the alleged scheme.
by
Jennifer Lea Reed
The agency charged Brite Advisors with failing to disclose that client assets were used to secure loans.
by
Tracey Longo
Virginia Foxx wants the DOL to extend the comment period for the proposed rule.
by
Jacqueline Sergeant
Christopher Kennedy directed more than 5,300 trades in four accounts, Finra said.
