Displaying 3266 results
SEC files fraud charges against firm for working with barred broker
Walter Grenda allegedly sneaked back into industry through his son's firm
Mychal Kendricks, Cleveland Browns linebacker, charged with insider trading
Mychal Kendricks has admitted buying shares of companies he was told were about to be acquired and then selling them at a profit.
Crypto craze puts retirement savings at risk
Regulators and Congress should protect investors by slamming the door shut on efforts to bring cryptocurrency into the world of retirement savings.
SEC Regulation Best Interest an important step for our industry
The agency's approach allows firms to comply with new guidelines while while tailoring their practices to their own businesses and clients.
SEC orders new enforcement hearings as a result of Supreme Court ruling
Agency orders 'do-overs' following Supreme Court ruling on appointment of in-house judges
Senate Banking Committee approves SEC nominee Elad Roisman
If confirmed by full Senate, Republican would restore commission to full strength until December.
Fund industry limits C-share investing, cutting 12b-1 fee income for advisers
Growing pressure on fees and disclosures drives fund industry limits on C-share investing.
SEC bars owner of investment advisory firm for misusing $2.2 million in client funds
Caleb R. Overton raised the money to invest in an S&P 500 ETF but instead allegedly played options and lost all but $34,000 in a little over a year.
SEC chairman Jay Clayton calls for end to broker sales contests
Top regulator says such incentives prevent brokers from acting in clients' best interests.
SEC charges cold-caller, his firm with defrauding investors who bought penny stock
Long Island-based group was being paid to promote the stock.
Elizabeth Warren: Wall Street influence weakening SEC advice rule
Senator cites 'soft corruption' of revolving door that causes SEC members to kowtow to industry.
SEC charges five unlicensed salespeople in Woodbridge Ponzi
Unregistered agents pose "massive" problem in South Florida: attorney.
Finra fines Interactive Brokers $5.5 million for short-sale violations
Regulator says firm did not have adequate procedures in place to comply with regulations
Merrill pays $8.9 million SEC penalty over undisclosed conflict of interest
Brokerage failed to tell investors about its own business interest in U.S. subsidiary of foreign bank
SEC forces cities, states to reveal bank loans
Lending to state and local governments has surged since the financial crisis.
Proposed SEC advice rule obscures distinctions between two business models
Brian Hamburger: The SEC is not proposing harmony; it's proposing equalization
Trump wants SEC to look at axing quarterly earnings reports
President suggests in a tweet that semiannual reporting would be better for business.
Broker fined, barred by SEC for cherry-picking
Cease-and-desist order alleges Roger Denha allocated profitable trades to his personal account at the expense of clients.
Top private placement manager GPB Capital halts sales to review accounting
Leading seller of risky private placements will focus on accounting at two large funds.
As Ameriprise case shows, firms on hook when brokers go bad
The SEC will collect $4.5 million from the brokerage firm for failing to supervise brokers who were ripping off clients.
