Northern Star settled SEC charges that it mislead investors in public filings, indicating it had not had conversations with Apex prior to its IPO.

The bank filed its complaint against Nader Joseph Al-Mooshi, arguing that so far the advisor’s convinced about 64 households with $40 million in assets to leave J.P. Morgan and join Kestra Financial.

Helen Grace Caldwell faces 20 years in prison after being charged with wire fraud in a scheme that allegedly stole $1.5 million from clients, according to the Justice Department.

The brokerage app sued Commonwealth Secretary William Galvin, arguing against the validity of Massachusetts’ fiduciary standard. The state’s highest court ruled in favor of Galvin.

The independent broker advocacy group previously sued the DOL for withdrawing a Trump-era version of the rule in 2021 and is looking to revive that lawsuit.

J.P. Morgan Securities agreed to pay $18 million to settle charges that it gave certain clients the choice of accepting credits or settlements while agreeing not to approach regulators.

The Capital Markets Subcommittee called a hearing to examine the DOL’s latest bite at the fiduciary apple, which recently wrapped up its public comment period.

The decision comes a day after the commission’s X handle was hacked, with someone falsely posting the SEC had approved the funds.

Sander Ressler's Vidiance aims to deliver client testimonials compliant with SEC marketing rules.

The firm agreed to settle charges with the regulator after it charged LPL Financial supervisors failed to ensure the suitability of certain transactions made by reps on behalf of clients.