Douglas Schulz News Today

Over the past several weeks, international UW students from China have become targets of an elaborate China-based phone scam that threatens to arrest them if they don’t pay a large

Joseph DeGregorio promised a 13% return on promissory notes that never existed.

The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.

The case shines light on the risks of betting against a company's stock when merger or privatization deals are afoot.

The SEC's case against a barred former broker shows why regulators and the industry often struggle to catch repeat offenders before they harm investors again.

Deloitte Financial Corporate's settlement over recordkeeping allegations probably would have been bitter had the company not cooperated.

A basic scam victimizing a client who has since been diagnosed with dementia evaded any red flags for eight years, according to the SEC.

After a watchdog found problems with the regulator's examinations, the agency has repeatedly refused FP's requests for the details of them.

Commissioner Hester Peirce said an enforcement matter relating to a million-dollar fraud case fits a “sound” framework for charging compliance officers.

The orders from FINRA and the SEC respectively fault the firms for unsuitable rollovers and deficiencies exposed in a microcap scheme.