Regulatory actions and programs

A Florida court will hear a client’s claim that the firm charges processing fees that had ranged as high as 10 times more than the stated purpose: transaction and clearing costs.

It’s the latest sign the SEC is taking seriously complaints that fees for market data are too high.

Observers expect only modest changes from comment letters, and look ahead to a vote to enact new advisor and broker regulations.

High-yield notes offering 10% to 18% in annual returns turned out far less lucrative than promised.

The advisor allegedly sold $13 million worth of high-risk securities without disclosing that she earned commissions of up to 18%.

How to report a transaction that should have been disclosed to regulators long ago, but wasn’t.

The broker, Michael Siva, was one of seven people charged with securities fraud last year.

With Elad Roisman’s appointment, Republicans could have a big advantage at the SEC by year end.

Instead, Chairman Jay Clayton should be looking for a quicker way for companies to move from private to public markets, and back.

The Biltmore Capital fund was dissolved at an almost total loss, but not before Caleb Overton raised $2.2 million from 10 investors.