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The trade group’s continued support comes with caveats as advocates for a stronger rule express hope that the Biden administration will change the 2019 regulation.
July 27 -
Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.
July 22 -
The wirehouse is the latest firm to have its financial advisors called out publicly by the regulator for disregarding warnings about holding the ETNs for a long time.
July 19 -
The Securities and Exchange Commission is ramping up enforcement against cryptocurrency providers, as the Internal Revenue Service has also stepped up investigations and compliance efforts.
July 15 -
The firms agreed to censures, the settlement payments and to cease-and-desist orders tied to their alleged misconduct.
July 14 -
The Advisor Group IBD missed 55 alerts suggesting suspicious disbursements by clients of Hector May, according to the SEC.
July 1 -
Jose Ramirez says he doesn't recognize the criminal mastermind portrayed in the SEC's complaint against him.
June 11 -
The case against Centaurus Financial comes after the industry and consumer advocates decried the previous administration’s approach for different reasons.
June 10 -
After an initial phase of good-faith exams, regulators expect to see how firms have operationalized those programs.
May 24 -
DaRayl Davis used his clients' money to rent a fancy Hollywood mansion, purchase over $100,000 in airline tickets and pay off massive credit card bills.
May 5