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.’

Cambridge Investment Research’s RIA business 'breached its fiduciary duty' by failing to disclose agreements with clearing brokers to share revenue with the firm from some mutual funds and wrap fee accounts, according to the SEC.

After President Joe Biden urged Congress to pass the bill during his address, the IBD advocacy organization argued it could weaken the independent contractor status of many financial advisors.

New Mexico follows Pennsylvania, Kentucky and Mississippi in finalizing rules on annuity sales based on the National Association of Insurance Commissioners’ 2020 model rule.