Michael and David Sztrom, who settled fraud allegations with the SEC in 2022, contend the regulators' "follow on" attempt to ...

The Financial Industry Regulatory Authority has fined Fidelity Investments $600,000 for failing to supervise over an eight-year period an associated person's access to stock plan services accounts ...

Alabama-based Frazer Lanier failed to detect a $500 political contribution by one of the firm's muni finance professionals ...

Prepare for success with the Securities Institute of America. Comprehensive training, study materials, and tools to help you ...