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The regulator will be stepping up scrutiny of advisors on this issue and others, including ESG and cybersecurity.
March 5 -
So far this month, an average of 99 billion shares in companies that don’t trade on classic exchanges have changed hands each day.
February 17 -
The 33-year-old advisor allegedly spent clients’ money on luxury items and business expenses for his startup.
February 11 -
Regulators and Washington policy makers are sure to up scrutiny once the dust settles on the market turmoil that has buffeted GameStop and others.
February 2 -
Jacob Glick is accused of breach of fiduciary duty and misappropriating client funds, among other alleged misconduct.
January 22 -
“The sheriff is coming to the preeminent financial regulator in the world,” said Justin Slaughter, a consultant at Mercury Strategies. “It means regulation and enforcement are about to get much tougher.”
January 14 -
The work-from-home phenomenon has triggered a fresh frustration for U.S. corporations: Americans are blowing the whistle on their employers like never before.
January 13 -
SEC cases that go beyond faulting firms for their failure to disclose conflicts of interest have drawn pushback from the industry.
December 30 -
The allegations involving 12b-1 fees, cash sweeps and commissions also include violations of best execution rules.
December 23 -
“We look forward to our day in court and will not be bullied by the regulatory thugs at the SEC," the firm's co-founder says.
December 23