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

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

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 ...