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.
by
Tracey Longo
The trade group's president said its appeals to the Department of Labor have fallen on deaf ears.
by
Jennifer Lea Reed
The company is arguing a Finra arbitration panel incorrectly awarded damages to one of its former brokers.
by
Evan Simonoff
A look at the diversity of different RIA models reveals many are growth-challenged.
by
Tracey Longo
New white paper asks regulator to create policies and internal audits to eliminate unfair practices.
by
Bob Van Voris
The bank is accused of failing to sufficiently protect customers from fraudsters.
by
Jacqueline Sergeant
Jesus Rodriguez of El Paso, Texas, allegedly robbed the accounts of 10 clients.
by
Sridhar Natarajan
Chatham claims the outside consultant failed to prevent trading practices that ran afoul of authorities.
by
Tracey Longo
The faulty performance statements caused wide-ranging disruptions for the Pennsylvania pension fund, the SEC said.
by
Tracey Longo
The new rules require enhanced conflicts disclosures and guardrails for earnings projections.
by
Tracey Longo
That's 11 times more than the agency has estimated, the independent broker-dealer industry group said.
