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SEC Charges Former Cetera Adviser with Securities Fraud

The Securities and Exchange Commission has levied fraud charges against a California-based hybrid advisory firm and its two senior executives for lying to investors...

SEC Charges Former KPMG and PCAOB Employees in Audit Leak

The Securities and Exchange Commission has charged six certified public accountants – including former staffers at the Public Company Accounting Oversight Board (PCAOB) and...

Windy City Crypto Launches $150 Million Reg D Crypto Fund

Windy City Crypto LLC has launched the Crypto Futura Fund, a private investment fund that seeks to capitalize on the $500 billion cryptocurrency market....

FINRA Bars Former Dawn Bennett Associate

  The Financial Industry Regulatory Authority has barred Bradley Mascho for refusing to appear for on-the-record testimony relating to its investigation of fraud, undisclosed outside...

Fiduciary Groups Call for Restricted Use of “Financial Advisor” Title

Two fiduciary advocacy groups, the CFA Institute and the Committee for the Fiduciary Standard, submitted letters to the Securities and Exchange Commission urging the...

SEC Charges Connecticut Insurance Executive and Two Companies with Securities Offering...

The Securities and Exchange Commission has charged Connecticut resident David Haddad and two companies he operates in connection with a fraudulent scheme to raise...

Robert Jackson and Hester Peirce Sworn in as SEC Commissioners

Robert Jackson Jr. and Hester Peirce were sworn into office as SEC Commissioners on Thursday morning by Securities and Exchange Commission chairman Jay Clayton. Jackson...