Practice

A law firm’s analysis of what the self regulator is doing to rein in bad brokerages and advisors marshalls data not easily found.

The SEC says Marguerite Cassandra Toroian waited to allocate stock purchases to herself, her family or clients once she knew if the purchases were winners or losers.

OU’s law school enlisted a former player from one of its fiercest rival schools to help students understand how to avoid the pitfalls of misconduct.

Joseph Orazio DeGregorio convinced his victims to invest in promissory notes and companies that never even existed.

They say a prolonged period of volatility will require more creative solutions to find returns and stave off losses.

There are decisions to be made ahead of final guidance to be released by the commission later this year.

In a third alternative to an often vexing choice, the pension holder obtains enough life insurance to elect the single life pension at retirement.

A judge’s decision puts new pressure on the brokerage industry watchdog and the SEC.

Akshay Singh’s Indyfin seeks to give more independent practices access to client leads and the potential opportunity of online reviews.

Fintech deals totaled $348.5 billion in 2021. Here are the trends causing the record transaction wave.