It’s been a tumultuous week for Commonwealth Financial Network, a leading independent broker-dealer.
Regulator folds on three more cases.
Finra says the former rep from Indiana transferred names, Social Security numbers, and other information associated with more than 1,300 customers to his personal email accounts.
Federal court stops action over unregistered securities claim.
The prospective chair of the agency has pledged to shed conflicted interests and "return common sense to the SEC."
'If I were on the side of Alpine Securities, I’d put all my eggs in the federal court,' one attorney said.
'I feel like they have created an addictive gaming culture, which is not healthy for investing.'
Paul Atkins pledges to address potential conflicts as the Democratic firebrand's open letter, along with filings around his financial interests, raises questions.
My employer was biased – and the judge and magistrate are being unfair says ex-employee
The market for municipal bonds is notorious for being opaque and filled with difficult to price securities.
Up to 700 employees have reportedly accepted the Trump administration's $50,000 incentive, raising questions about the agency's ability to function in the future.
SEC complaint charges RIA with fiduciary breaches over client assets invested in mutual funds and money market sweep funds that created millions of dollars in revenue-sharing payments to broker dealer appropriate.
New guidance addresses some areas of ambiguity for investment firms, but they may require a revamp for some materials.
Finra settlement says the advisor failed to inform his former employer about the client's condition until after he resigned.
Commission says that fund and its investors lost $1.6M as a result.
This dispute centered on a group of Stifel Financial advisors who left the firm two years ago to an RIA.
The current legal battle with a broker-dealer, Alpine Securities, is the latest challenge for the industry regulator.
“The arbitration panel really threw the book at Stifel,” according to one plaintiff’s attorney.
Changes in regulations are keeping compliance officers busy. Here's how they are keeping up.
A new policy proposal from the Managed Funds Association lays out requests to reduce disclosure requirements and offer legal clarity on crypto ownership, among other priorities.
