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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 -
The service's Criminal Investigation unit investigated 975 tax and money laundering cases related to COVID-19 with fraud totaling $3.2 billion.
March 23 -
Americans lost 30% more money to scams last year than in 2021. And the biggest losses were from seniors.
March 17 -
An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.
March 17 -
The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.
February 22 -
The Wisconsin wealth manager persuaded more than a dozen clients to put roughly $1.9 million into 'unrated, illiquid, high risk, and potentially speculative' investments. But he never made the investments.
January 26 -
Even if advisors get a disclosure removed from their records, the damage done online can be difficult to manage.
January 25 -
Investment scams are as old as investments themselves, and it doesn't get any easier to avoid falling prey to them. But advisors can help.
January 16 -
FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.
January 11