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The Salt Lake City broker-dealer, under scrutiny by regulators over its exorbitant fees and seizure of client money, lost a court battle seeking to force regulator FINRA to deal with it in person.
September 8 -
Brokerages that want to hire someone with a checkered past have to undergo a “consultation” with the watchdog and may have to try to renew their memberships.
September 2 -
Some funds touting their environmental and socially responsible investments may be exaggerating.
September 1 -
Carrie Tolstedt invoked her right to remain silent about allegations she misled bank customers.
August 31 -
‘Millions unaccounted for’ in an alleged 10-year fraud as court freezes assets of dually registered planner and his fund.
August 26 -
Defense cites a heart condition caused by a Brazilian parasite as a reason for lesser time.
August 16 -
Wall Street’s self-regulator says recent data show that only mid-sized and smaller firms would have fit its new “red flag” criteria.
August 12 -
The exchange will direct its listed companies to pursue board diversity, including at least one member who is female and at least one who is an underrepresented minority or LGBTQ.
August 9 -
Federal prosecutors alleged James K. Couture had reached an agreement to sell a home in Cape Cod before the proceeds could go toward restitution.
August 3 -
Adjustments to the organization’s sanction guidelines and procedural rules are the latest step in its ongoing enforcement overhaul.
July 28