The Financial Industry Regulatory Authority Inc. (FINRA) recently concluded settlements totaling $2.6 million in fines and restitution with four mobile apps and online broker-dealers.
The Financial Industry Regulatory Authority (FINRA) has imposed a fine and suspension on Mitchell S. Morrison for engaging in private securities transactions without providing prior written notice to his affiliated firms.
The Securities and Exchange Commission (SEC) has granted awards totaling more than $28 million to seven individuals who played a pivotal role in a successful SEC enforcement action.
Goldman Sachs has introduced further challenges for former advisors of its Personal Financial Management (PFM) unit who departed for competitors before the unit's sale to Creative Planning in November.
The U.S. District Court for the Eastern District of New York approved the SEC's request to transition the ongoing monitorship over GPB Capital Holdings, LLC and its affiliates into a receivership.
Wells Fargo is under regulatory scrutiny. According to the Wall Street Journal, regulators have directed the bank to enhance its capabilities in detecting and preventing criminal activity associated with its accounts or products.
A successful entrepreneur who had entrusted JPMorgan Chase & Co. with his substantial wealth, once valued at $50 million and now valued at $1.5 million, has sued JPMorgan.
Advisors opting for home offices received a nod from the Securities and Exchange Commission (SEC) as it greenlit rules permitting remote inspections of advisors' offices.
Liquidity Index LP, an affiliated Delaware limited partnership of Alternative Liquidity Capital, has offered to acquire up to 238,000 Class I shares of The Wildermuth Fund.
The Securities and Exchange Commission (SEC) has sanctioned two Laidlaw advisors, Richard Michalski and Michael Murray, for violating Regulation Best Interest's care obligation by making recommendations to four retail customers without a reasonable basis.
Hiring Eccleston Law has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over. If you are in a situation where you've been unfairly accused, don't hesitate to talk with Eccleston Law. They are the best.
The crypto market’s recent downturn erased nearly $20 billion in leveraged positions within hours and half a trillion dollars in market value over a single weekend.
UBS Group AG has begun liquidating two invoice finance funds with direct exposure to First Brands Group, marking one of the earliest moves by a major financial institution to contain the fallout from the bankrupt auto-parts supplier’s collapse, as reported by Bloomberg Law.
Federal prosecutors have intensified scrutiny of the long-running collapse of GWG Holdings Inc., unveiling criminal charges against Bradley Heppner, the former chair of both GWG and Beneficient.
