The Justice Department accused Raymond Erker of defrauding some 50 investors, including a former judge who wore a wire to help the police investigation, according to news reports.
Under the plan, federal agencies from Treasury to the Commerce Department will have to research a number of topics, including the pros and cons of the government launching a U.S. digital currency.
North Carolina–based David W. Schamens was charged in federal court with wire fraud, securities fraud, and money laundering and could face decades in prison; the SEC also filed charges against him this week.
Breaking down the pros and cons of enrolling into FINRA's new continuing education program.
The firm was accused of violating the so-called best execution rule, which requires brokers to find the most favorable terms for their customers.
‘The temperature is rising on the quality of cybersecurity risk for registered investment advisors, whether they are in the DOL space or not.’