President Joe Biden's SEC chair nominee testified before the Senate banking committee on issues, including climate risk disclosures, no-fee trading platforms and 'regulation by enforcement.'
Christopher Fulco was sentenced to three years in prison after pleading guilty to wire fraud, mail fraud and securities fraud in Montana federal court.
In a complaint filed Thursday, Attorney General Xavier Becerra's office said 'AwesomeCalls' gave out stock tips for years to members without being registered at the state or federal level.
Reegan Rae was recently tapped to lead Portland-based, employee-owned RIA Arnerich Massena, an advisor to HNW families and institutions. Leadership diversity is key for clients, she says.
Steven Pagartanis was sentenced to more than 14 years in prison for his role in the scheme, according to the Justice Department. FINRA had previously barred the Long Island–based advisor from the industry.