A major shift will affect the financial industry in the coming years with women expected to exert greater control over the nation's wealth, Financial Advisor reports. This transformation was one of the main topics of a panel discussion at Financial Advisor magazine’s...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: April 2025
White House executive order seeks to assert control over regulatory agencies
A new initiative from the White House seeks to assert greater presidential control over independent agencies responsible for much of the nation's regulatory activity, according to a report from Bloomberg and Wealth Management. The Securities and Exchange Commission...
Paul Atkins sworn in as new chairman of the Securities and Exchange Commission
Paul S. Atkins has assumed his new role as Chairman of the Securities and Exchange Commission after being sworn into office last week, the SEC announced. Atkins, whose nomination by President Trump was confirmed by the Senate by a 52-44 vote, was sworn in by Treasury...
SEC awards $6 million to joint whistleblowers for assistance leading to enforcement action
Joint whistleblowers will be receiving an award of about $6 million from the Securities and Exchange Commission for their assistance, the SEC announced. The whistleblowers were credited with providing new information that led to the opening of an examination and...
New initiatives, ‘FINRA Forward’, aimed at supporting members, markets and investors
A new series of initiatives has been announced by the Financial Industry Regulatory Authority to improve its effectiveness in pursuing its mission of protecting investors, maintaining market integrity, and facilitating vibrant capital markets. The initiatives, known...
