Keith Gill, who became a central figure in the 'Reddit rebellion' and rise of GameStop shares in January, worked with MML Investors Services, a broker/dealer subsidiary of MassMutual.
President Joe Biden's SEC chair nominee testified before the Senate banking committee on issues, including climate risk disclosures, no-fee trading platforms and 'regulation by enforcement.'
Christopher Fulco was sentenced to three years in prison after pleading guilty to wire fraud, mail fraud and securities fraud in Montana federal court.
In a complaint filed Thursday, Attorney General Xavier Becerra's office said 'AwesomeCalls' gave out stock tips for years to members without being registered at the state or federal level.
FINRA-regulated firms say the industry is prepared to conduct proper supervision virtually on a permanent basis after the pandemic ends; state securities regulators and others worry about what could slip through the...
Steven Pagartanis was sentenced to more than 14 years in prison for his role in the scheme, according to the Justice Department. FINRA had previously barred the Long Island–based advisor from the industry.
Last November, James Booth was sentenced to 42 months in prison for conducting a Ponzi-like scheme on investors and was ordered to pay nearly $5 million.
