Legal & Compliance

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Conservative Manifesto Project 2025 Says Finra Should Be Abolished

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The Heritage Foundation's policy initiative says the regulator should be folded into the SEC.

Hedge Fund Trader In Canada Gets Four-Year Jail Term For Faking Returns

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Nathanael Anthony Aikman also was ordered to pay restitution of more than C$3.9 million ($2.9 million).

Has It Become Easier For Brokers And Advisors To Evade Regulators?

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Finra enforcement actions are down, while a Supreme Court ruling could hamstring the SEC.

Alternatives Hedge Fund And RIA Sued By SEC For Alleged Fraud

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The Hedonova Fund misled investors into investing $12.5 million, the SEC claimed in federal court.

Florida Advisor Lost Key To $10M Crypto Wallet, SEC Says

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Chauncey Lufkin III and his firm, Lufkin Advisors, consented to $425,000 in civil penalties.

Finra Orders Merrill To Repay Customers Almost $1.5M On Fee Lapses

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The regulator said Merrill Lynch caused customers to pay avoidable fees on brokerage account recommendations.

CFA Level II Pass Rate Spikes To 59%, The Highest Since 1998

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The CFA Institute said it's seeing more people enroll in the program while they're in college.

SEC Bars Ariz. Advisor For Allegedly Defrauding Clients

by FA Staff

Scottsdale advisor Jacob C. Glick was banned for 10 years after causing clients to lose $2 million, the agency said.

'Roaring Kitty' Sued Over Alleged GameStop 'Pump And Dump'

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The suit alleges that Keith Gill acquired 120,000 call options in GameStop before he began posting about the company.

Ex-Moelis Banker Kaye Arrested For Assault In Viral Video Punching Incident

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A viral video posted on X allegedly shows him punching a woman.

Supreme Court's SEC Arbitrator Ruling A 'Good Win' For Advisors, Attorney Says

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The regulator will now have to be more selective in its enforcement actions, attorney Brian Hamburger said.

Supreme Court's Sackler Ruling Upends Bankruptcy Settlements

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The ruling stands to change the way troubled organizations have used Chapter 11 to survive onslaughts of lawsuits.

Wall Street Cop Finra Goes Quiet On The Beat As Its Caseload Plunges

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Critics contend the regulator has ratcheted down its pursuit of securities industry wrongdoers.

Barred Ex-Morgan Stanley Broker Ordered To Pay Firm $1.9M

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A Finra panel rejected Candido Viyella's claims he was wrongfully terminated and defamed.

Mariner Sues Savvy For Allegedly Poaching Advisors And $60M In AUM

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Mariner claims Savvy lured Cincinnati advisors to gain a foothold with Procter & Gamble clients.

CFP Board Filing Supports DOL's Fiduciary Rule

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In an amicus brief, the board said the rule is needed to eliminate conflicts and fill regulatory gaps.

Supreme Court Curbs SEC's In-House Judges In Fraud Cases

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The decision could reduce the commission's ability to extract high-dollar settlements.

Former SEC Chair Clayton Blasts Agency's Climate Change Rules

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The agency chief under the Trump administration told the SEC to "stay in your lane."

IRS Apologizes To Ken Griffin To Settle Tax Data Breach Case

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Griffin sued the IRS for failing to prevent his financial information from appearing in ProPublica articles.

Dual Registrants Should Brace For Reg BI Crackdown, Former SEC Lawyers Say

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The SEC is scrutinizing hybrid firms that put their clients into more expensive brokerage accounts, they said.

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