Two companies, Boustead Securities and Sutter Securities, as well as the firms’ former CEO, Keith Moore, filed a constitutional challenge in the U.S. District Court for the District of Delaware on ...

Two broker-dealer firms are taking FINRA to federal court, arguing the regulator's enforcement powers are unconstitutional ...

Lido Advisors launched a broker/dealer option as it continues to recruit advisors, though it will remain focused on being a ...

Third Correspondent Begins Onboarding to Clearing Platform Fourth Correspondent Clearing Agreement Executed Operations Team Expanding to Support Current Activity and Growing PipelineClearing ...

Welcome to our new quarterly newsletter by the Tarter Krinsky & Drogin White Collar and Regulatory Enforcement Practice and Three Mile Advisors ...

The Dow's climb to record levels is not likely to move many financial advisors back into SEC oversight, says NASAA's president. When it comes to regulatory matters, the fiduciary standard of care ...

A struggling broker-dealer’s efforts to close all of its retail customer accounts by applying theories of abandonment, including mischaracterizing securities as “worthless” and making misstatements ...

OTC Markets Group (OTCQX: OTCM), operator of regulated markets for more than 12,000 U.S. and International securities, today ...

The Public Company Accounting Oversight Board released a new staff publication aimed at auditors of broker-dealers who are performing review engagements involving exemption reports. Processing Content ...

Securities America, a division of Ameriprise (NYSE: AMP), faced legal and financial peril this week due to failed private placements, but it is only the latest in a series of cases that have cropped ...