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The plaintiff in the class-action suit notes that returns at rival institutions rose when inflation started driving prices up last year. Her rates did not.
December 14 -
Bans on working at brokerage firms don't lead to prohibitions on acting as an RIA as often as one might think.
December 12 -
The doubts raised over the broker-dealer self-regulator's authority come amid a general questioning of the federal government's oversight powers.
December 8 -
A new report finds that contract clauses forcing investors' cases into private forums too often stack the deck in favor of firms.
December 5 -
Christopher Turean admitted to moving money out of a customer's account to place bets on DraftKings and FanDuel.
December 4 -
The fine arises from market manipulation committed by a pair of former employees over the course of nearly seven years.
November 30 -
A lawyer representing hedge fund manager George Jarkesy argues the dispute could be solved simply by letting defendants choose to take their cases to regular courts.
November 29 -
A female Citigroup Inc. equities managing director sued the bank, alleging that she endured "horrifying" sexual assault and harassment by superiors
November 21 -
Kenneth A. Welsh stands accused of taking money out of his clients' brokerage accounts to buy gold and other precious metals and pay down credit card debt.
November 17 -
The Wall Street regulator shows strong interest in preventing relatively new forms of technology from being misused in ways that can harm investors.
November 15