Enforcement

By making the false and misleading statements about the fee markups in its Firm Brochures or otherwise, Roberts and TCFG violated the fiduciary duties they ...

'We are concerned about misaligned incentives,' group says

Citadel Securities is muscling up against accusations that the quant trading giant conspired with online broker-dealer Robinhood to squelch a populist investor raid on GameStop ...

In a new settlement order, the SEC says private fund adviser Soteira Capital and its principals, Derek Charles Clark and Laura Santos overcharged performance fees, ...

State regulators opened 5,501 new investigations last year, focusing on  digital assets, precious metals, social media, and self-directed individual retirement accounts, NASAA says in its ...

MML Investor Services will pay $4.75 million to settle claims that it failed to supervise an employee who played a pivotal roll in the meme ...

Pair gamed 'meme stonk' chaos, feds claim

One in five deficiencies linked to suitability, NASAA says

Funds face 'stress-test'

Last domino in Sentinel scheme falls