by
Ben Mattlin
The retiree lost $1 million in an oil and gas investment that promised 30 years of annual income.
by
Edward Hayes
Falcon Wealth Planning claims Ray Sensenig started a competing firm while still employed at Falcon.
by
Tracey Longo
The agency aims to collect $50 billion more in taxes over the next 10 years from those who use the tactic.
by
Katanga Johnson
The Federal Reserve said that its penalty was for Citi violating an enforcement action from 2020.
by
Tracey Longo
The Republican-led actions are largely symbolic given the near certainty of vetoes by President Biden.
by
Olga Kharif
Bad actors are making record use of stablecoins.
by
Tracey Longo
After a customer complaint, the wirehouse reimbursed customers more than $17 million, Finra said.
by
Tracey Longo
The Heritage Foundation's policy initiative says the regulator should be folded into the SEC.
by
Aimee Look
Nathanael Anthony Aikman also was ordered to pay restitution of more than C$3.9 million ($2.9 million).
by
Tracey Longo
Finra enforcement actions are down, while a Supreme Court ruling could hamstring the SEC.
by
Tracey Longo
The Hedonova Fund misled investors into investing $12.5 million, the SEC claimed in federal court.
by
Jennifer Lea Reed
Chauncey Lufkin III and his firm, Lufkin Advisors, consented to $425,000 in civil penalties.
by
Eric Rasmussen
The regulator said Merrill Lynch caused customers to pay avoidable fees on brokerage account recommendations.
by
Katherine Doherty
The CFA Institute said it's seeing more people enroll in the program while they're in college.
by FA Staff
Scottsdale advisor Jacob C. Glick was banned for 10 years after causing clients to lose $2 million, the agency said.
by
Avalon Pernell
The suit alleges that Keith Gill acquired 120,000 call options in GameStop before he began posting about the company.
by
Tracey Longo
The regulator will now have to be more selective in its enforcement actions, attorney Brian Hamburger said.
by
Jonathan Randles
The ruling stands to change the way troubled organizations have used Chapter 11 to survive onslaughts of lawsuits.
by
Austin Weinstein
Critics contend the regulator has ratcheted down its pursuit of securities industry wrongdoers.
