LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...

The U.S. Securities and Exchange Commission on Friday said Digital Currency Group Inc. and the CEO of its now-defunct ...

The U.S. Securities and Exchange Commission (SEC) on Friday said a pair of Wells Fargo Advisory firms and Merrill Lynch have ...

The violations stem from a 2020 change where Vanguard lowered the minimum investment requirement for its institutional target ...

As wildfires devastate homes and neighborhoods in California, individuals who want to help those impacted by the destruction ...

Crypto company Digital Currency Group agreed to pay a $38 million fine to settle with the Securities and Exchange Commission ...

The SEC disclosed 7 actions against alleged misbehavior with only three days left for the Biden administration.

Celsius Holdings, the fitness beverage company, will pay a $3 million civil fine to resolve charges it accounted improperly ...

Bitcoin ( BTC 4.81%) has led the way, rising 5.6% in the past 24 hours as of 12:30 p.m. ET and nearly crossing $105,000 per ...

The financial industry is experiencing a transformative moment as it navigates the intersection between traditional financial ...

Two Sigma Investments waited four years to address vulnerabilities that hedge fund employees noticed in its investment models ...

On January 15, 2025, the SEC formally filed an appeal with the Second Circuit Court to overturn Judge Analisa Torres' July ...