Merrill Lynch Sues Charles Schwab Over What They Describe As A "Premeditated Corporate Raid"
Merrill Lynch has taken aggressive legal action against Charles Schwab, Dynasty Financial Partners, and a group of former advisors.
Recent
Jim Cramer Reflects On The 2021 Meme Stock Frenzy
Jim Cramer’s reflections on the 2021 meme stock frenzy highlight just how disruptive retail investors became during the pandemic.
Will State Regulators For Advisor Marketing Rules Align With Federal Standards?
State regulators are weighing whether to bring their rules for investment advisor marketing into alignment with federal standards.
Former Colorado Investment Advisor Sentenced To 37 Months In Federal Prison
Ian Gregory Bell, a former Colorado investment advisor defrauded professional athletes and other clients, was sentenced to 37 months.
Charlie Javice Makes An Appeal As She Awaits Federal Court Sentencing
Charlie Javice, founder of Frank, has made a deeply personal appeal for leniency as she awaits sentencing in federal court.
SEC Challenged By Lawsuit Over The Accredited Investor Rule
A fresh legal challenge is taking aim at one of the most entrenched rules in securities law: the SEC's accredited investor standard.
The CFTC Recently Announced Six Settlements With Financial Institutions
The CFTC recently announced six settlements with financial institutions over what it described as technical rule violations.
