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SEC Charges Former Broker Using SEC Letterhead with Defrauding First Responders...

The Securities and Exchange Commission has charged a San Antonio-area businessman and his company with running an alleged multimillion-dollar scheme that purportedly defrauded retired...

SEC Charges Former Georgia State Legislator with Defrauding Investors in Alleged...

The Securities and Exchange Commission has charged Clarence Dean Alford, a former Georgia state legislator and former member of the Georgia Board of Regents,...

Democrats Vow to Reverse SEC’s Regulation BI in Draft Party...

Without mentioning the regulation by name, Democrats took aim at Regulation BI, the Securities and Exchange Commission's broker advice rule in an early draft...

SEC Charges Former Morgan Stanley Advisor with Fraud

The Securities and Exchange Commission has charged former registered representative and investment adviser Michael Barry Carter with fraud for allegedly stealing from brokerage customers...

SEC Files Fraud Charges Against Co-Founder of IIG

The Securities and Exchange Commission has charged David Hu, the co-founder and chief investment officer of International Investment Group LLC (IIG), a former registered investment...

Tweed Settles SEC Fraud Charges, Accepts Five-Year Banishment

The Securities and Exchange Commission has accepted an Offer of Settlement from Robert “Rusty” Tweed in regards to the fraud charges leveled against him...

SEC Revokes Registration of Connecticut-Based Investment Advisory Firm

The Securities and Exchange Commission has revoked the registration of Connecticut-based investment advisory firm Temenos Advisory Inc. Earlier this month, the SEC obtained a $2...

XY Planning Network Considers Further Legal Challenges to SEC’s Regulation Best...

On Friday, the Second Circuit Court of Appeals rejected a lawsuit challenging the Securities and Exchange Commission’s Regulation Best Interest, which goes into effect...

Advisor Group Adds Reg BI Compliance Tools to Account Management Platform

Advisor Group, the nation's largest network of independent wealth management firms, has added new features to its digital client onboarding and account management platform...

SEC Halts Brothers’ Alleged Cryptocurrency Offering Fraud

The Securities and Exchange Commission has filed an emergency action and obtained a temporary restraining order and asset freeze against two Pennsylvania-based brothers and...