Regulation

Evan Schottenstein, without admitting or denying the findings, agreed to the sanction after FINRA concluded he wasn’t complying with its investigation.

Amanda Daugherty accused the wealth manager of gender-based discrimination and unlawful termination.

The 37-year veteran advisor’s settlement with FINRA is the latest phase of a two-year saga involving a father-son team at an Indiana practice.

The police, FBI, SEC and IRS, among other agencies, have been trying to track ex-advisor Chris Burns for months, to no avail.

One former rep is responsible for more than 80% of the firm’s sales of the defunct LJM Preservation & Growth Fund.

It’s yet another revenue stream that may face pressure after the custodian spawned a race to zero commissions more than a year ago.

Anthony Diaz began the sentence immediately after a hearing in which a victim said he should “rot in hell” for the felonies.

Impact investment manager Rachel Robasciotti and other advocates say the private proceedings are harmful to victims and helpful to firms protecting serial harassers.

Rule 11870 permits member firms to use them rather than obtaining an affirmative authorization from the client — in certain situations.

Several proposals have so far failed to pass the SEC's muster.