Inspire Advisors has joined a lawsuit arguing the major retailer’s Pride Campaign resulted in consumer backlash that negatively impacted its stock price.
In a recent report, the SEC Investor Advocate suggested the commission "temporarily" stop RIAs from including mandatory arbitration clauses in contracts, arguing they could "mislead retail clients into not exercising...
Kaival Patel was found guilty of conspiracy to commit wire and health care fraud to pocket money raised from fraudulent compound medication prescriptions, according to the DOJ.
Firms ranging from Morgan Stanley and Raymond James to LPL Financial and Cetera Financial Group decried state regulators’ proposals, but non-profit law clinics representing small investors said NASAA was on the right...
A final rule meant to “standardize” climate-related disclosures for issuers could also come in the spring, according to the White House Office of Management and Budget.
SoFi Securities, SogoTrade, M1 Finance and Open to the Public Investing will pay more than $1 million in restitution after clients were promised fees from lending securities they allegedly never received.
Reps with UBS' Athletes and Entertainers Group will provide “holistic” financial advice to prepare athletes for their post-NFL careers. Other firms with the designation include Goldman Sachs and Morgan Stanley.