Practice Management

The U.S. Supreme Court hears arguments today on the SEC's ability to use in-house judges to seek multimillion-dollar penalties.

Sassi Mizrahi was sentenced to more than seven years in prison after being found guilty of five counts of wire fraud related to helping his brother defraud at least 40 investors, according to the Justice Department.

Jason J. Eaton, who allegedly called himself a "reformed broker," was arrested by the ATF for allegedly shooting three 20-year old Palestinian students in Vermont this weekend. Eaton has a FINRA history, with a series of short stints at TD...

You set yourself apart when you recognize your clients’ losses and support them in ways that most others do not.