A "biblically responsible" investment adviser agreed to pay $300,000 and hire an independent compliance consultant to settle ...

The Federal Trade Commission took aim at the business models of some of the world’s largest companies, publishing a ...

FINRA announced the election of Jennifer Szaro, chief compliance officer and a managing equity owner at XML Securities and its affiliated registered investment adviser, XML Financial Group, to its ...

Safe-Guard Products International, provider of third-party private label protection products for the automotive, RV, marine, and powersports industries, announced the appointment of Alen Gong as chief ...