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The principals at Legend Venture Partners stand accused of making millions by offering shares in pre-IPO companies without disclosing markups to investors.
June 29 -
Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.
May 31 -
For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.
May 12 -
His lawsuit is the first to follow the U.S. Supreme Court's decision in another case questioning the regulator's "at-home" advantage with internal proceedings.
April 28 -
The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.
April 4 -
The SEC and DOJ accused a New Jersey-based broker of using insider knowledge to make more than $3.4 million from a scheme involving special purpose acquisition companies.
April 3 -
An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.
March 17 -
Even if advisors get a disclosure removed from their records, the damage done online can be difficult to manage.
January 25 -
FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.
January 11 -
In a compliance case, the SEC accused LPL of failing to verify conflicting information when it opened a customer account and processed wire transfers.
October 6