September 16, 2017

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA extended hearing panel censured Albany, NY-based broker-dealer C.L. King & Associates, Inc. and fined …

September 16, 2017

University of Wisconsin-Madison Professor Recognized for Outstanding Service and Research to Advance Investor Protection and Financial Capability in the U.S. WASHINGTON — The FINRA Investor Educati…

September 16, 2017

But Credit Card Debt and Underwater Mortgages Weigh Heavily on Vets WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) today released a new study that shows veterans are faring…

September 16, 2017

The Securities and Exchange Commission today charged a New Jersey-based tax preparer and investment adviser with stealing more than $1 million from clients to support his gambling habit and other pers…

September 16, 2017

The Securities and Exchange Commission today charged a sports radio personality and another New York City man with stealing millions of dollars from investors who were allegedly promised their funds w…

September 16, 2017

The Securities and Exchange Commission today announced the agenda for the next meeting of its Advisory Committee on Small and Emerging Companies.  The committee will discuss the Sarbanes-Oxley Act aud…

September 16, 2017

The Securities and Exchange Commission today announced that State Street has agreed to pay more than $35 million to settle charges that it fraudulently charged secret markups for transition management…

September 16, 2017

The Securities and Exchange Commission today announced insider trading charges against a former Amazon financial analyst who allegedly leaked confidential information to his former fraternity brother …

September 16, 2017

The Securities and Exchange Commission today announced the leadership of the agency’s trial unit.  Bridget Fitzpatrick has been named Chief Litigation Counsel of the SEC and David Gottesman will conti…

September 16, 2017

The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the Compliance…