Ejiro Okuma allegedly stole more than $9 million from an elderly client and the estate of that client’s sister. The Securities and Exchange Commission has reached a settlement with a former Georgia ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
BlackRock’s purpose is to help more and more people experience financial well-being. As a fiduciary to investors and a leading provider of financial technology, we help millions of people build ...
The Communications-Electronics Command Software Engineering Center has successfully streamlined the military's massive year-end financial process, ensuring the books for Fiscal Year 2025 were closed ...
Senator Elizabeth Warren pressed Securities and Exchange Commission Chair Paul Atkins in a letter exclusively obtained by CNBC to explain the SEC's planned approach to protect investors from the risks ...
The Securities and Exchange Commission is proposing a large increase in the threshold that qualifies registered investment advisory firms as “small entities.” The designation is important because it ...
SEC Chairman Paul Atkins. The SEC is warning advisors that they are sometimes not making proper disclsoures about clients and others they're turning to for endorsements and testimonials. Despite the ...
MSP Recovery CEO John H. Ruiz at his house in Coral Gables, on Wednesday, Dec. 8, 2021. The company said in a government filing on Monday, Dec 8, 2025, that the SEC ended its probe into the company’s ...
SEC Chairman Paul Atkins said rapid advances in electronic trading and blockchain technology are driving the biggest transformation in the U.S. financial system in decades, predicting that ...
Alt5 Sigma told regulators it learned in November its accountant had resigned, but the accountant says he stepped down three months earlier — a fresh discrepancy that marks the second apparently ...
The SEC is putting advisor mergers and acquisitions and alternative investments, and how they impact investors, at the center of its 2026 exam priorities, according to Christine Schleppegrell, the ...
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