SEC

A widow alleged that an imprisoned ex-financial advisor’s enterprise pursued “a malicious campaign” against her after she fell victim to his scheme.

The commission issued a 500-plus-page proposed rule Monday that would mandate corporate disclosure of greenhouse gas emissions.

David W. Schamens defrauded clients for $6.8 million in a Ponzi scheme despite being banned by the SEC decades earlier, according to investigators.

Fusion Analytics Securities sold $1.8 million in bonds and collected 8% commissions while making material misrepresentations, the regulator says.

SEC, FINRA and legislators are set to plant significant flags on the quickly evolving asset class’ landscape.

The regulator didn’t provide any explanation for the much larger payout, but it did release another similar settlement the following day.

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

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

Despite industry criticism, the regulator’s ongoing wave of cases has expanded into allegations that wealth managers breached their duty of best execution.

The advisor failed to disclose the low-interest loans he received from a fraudulent crypto securities issuer in exchange for selling the products, investigators say.