When the Biden administration nominated Gary Gensler to be SEC chair, Knut Rostad had high hopes that the agency would fortify fiduciary duty, the standard of care for investment advisers that he has devoted his professional life to defending.

Back in November 2021, cryptocurrencies, which saw a huge surge during most of the pandemic, suddenly began to nosedive. Joe Hovde, a New York-based data scientist, decided that this might be his moment to buy into crypto: He took a risk on the price plunge and bought some Ethereum, the next most popular crypto asset after Bitcoin, on Coinbase, a crypto exchange. 

A major modification to the proposal would allow state regulators to participate in arbitration hearings that determine whether to clear a broker's record of a customer dispute.

Clark County will investigate The Siegel Group's treatment of tenants during the pandemic after a federal investigation found the landlord engaged in "uniquely egregious" practices to evict residents.

The risky, illiquid investments were sold to recent retirees.

For years, Lisa Braganca has advocated reforming the way that registered representatives can clear their records of customer complaints. But when the Finra board announced last week that it had approved revisions to a previous proposal for doing so, Braganca was caught off guard.

A Delaware-based investment advisory firm is facing fraud charges from the SEC over claims that its clients were defrauded in a nearly five-year cherry picking scheme that put more than $1 million in the owner’s pocket.

On November 15, 2019, Maricopa County Superior Court Judge Erin Otis kept a secret.