Autumn Jordan and Manuel F. Pinazo, who previously worked at Merrill Lynch Wealth Management, were among those who applied for assistance under one of the government’s COVID-19 relief programs "based on false and fraudulent representations and...
This proposed reform could have several collateral effects that may make the situation worse.
John Law will serve 10 years in prison for participating in the nationwide scheme, in which he and his co-conspirators misappropriated millions in clients' funds.
The SEC’s efforts to standardize climate risk disclosures represent a first step in helping advisors cut through the noise and effectively evaluate companies’ risks and opportunities across various sectors.
Sen. Elizabeth Warren and Rep. Katie Porter are pressing the regulator after a Georgia judge called the fairness of its arbitration process into question.
The error was called “basic”, “bizarre” and “embarrassing.”
The 1 Global Capital fraud scheme raised more than $320 million from more than 3,600 investors throughout the country, according to the commission.
Black-check companies face a slew of new rules in the SEC's plan.
