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Caz Craffy admitted to taking nearly $10 million entrusted to him by Gold Star families and using it for excessive trades through outside brokerage firms.
April 23
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The Wall Street regulator stands accused of a "gross abuse" of power in its investigation into the digital assets firm DEBT Box.
April 23
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The ban comes after the Wall Street regulator's imposition of nearly $3 billion on fines for failing to track and record communications sent on messaging apps.
April 17
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The regulator's Consolidated Audit Trail database, intended to collect trading data, is in legal crosshairs again over privacy issues.
April 17
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An expungement lawyer contends firms have an incentive to tar the reputation of departing brokers in an attempt to retain assets under management.
April 11
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The Securities and Exchange Commission has temporarily stayed its climate-related disclosure rule amid a rash of lawsuits.
April 8
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Having hit most of the big Wall Street firms with hefty fines for misusing WhatsApp and similar services, regulators are now turning their attention to independent advisors.
April 4
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The giant insurer fired three financial advisors based on false claims about their specialty insurance consulting business, according to their attorney.
April 4
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The case is the latest to emphasize advisors' obligations to let investors know when they receive money for recommending certain mutual fund products.
April 2
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A federal judge has signed off on the bankrupt crypto firm Genesis Global Capital's settlement with the Securities and Exchange Commission over allegations a digital-asset lending program it helped run violated the agency's rules.
March 20
