Jay-Z Ordered to Testify In SEC Investigation - You cannot ignore an SEC subpoena, even if you are famous. Rapper Jay-Z failed to respond to two subpoenas from the SEC which is investigating the sale of Rocawear to Iconix Brand Group Inc. In what he must have known would not work, but according...

Jay-Z Claims SEC Probe Has Become a ‘Celebrity Hunt’ - Hip-hop star Jay-Z is at the center of the SEC's investigation into New York licensing firm that purchased his Rocawear clothing company for $204 million. The SEC is calling Jay-Z as a key witness and wants to see his communications with the firm,...

Wells Fargo to pay Brokers - According to InvestmentNews.com Wells Fargo Advisors will pay $9.5 million to settle a class action suit brought by 2,198 current and former brokers in California, who had charged that the firm failed to pay commissions in a timely manner....

Regulators Calling Your Clients? Maybe Yes, Maybe No. - Anyone who has been involved in an SEC or FINRA investigation into a sales practice issue has experienced the infuriating problem of the Staff calling the firm's customers as part of their investigation. While they claim to have every right to do...

Longfin Accountants Resign - On Thursday, April 5, Longfin said it was notified that public accounting firm CohnReznick would no longer work with the company, effective immediately, according to an 8-K filing Monday with the SEC. The accounting firm also told Longfin "that...

Unusual Confidentiality Provision in Sexual Harassment Settlement - The NYT is reporting that there are six publicly known settlements involving former Fox News star Bill O’Reilly , five for sexual harassment and one for verbal abuse, that total about $45 million. According to the article the settlement...

Recruiters Roundtable: All quiet on the Broker Protocol front? | On Wall Street - Recruiters Roundtable: All quiet on the Broker Protocol front?  On Wall Street has released the first of three transcripts of a round table discussion with financial industry recruiters. The discussion is interesting, and provides an insight...

Ladenburg Partners with The W Source™ to Facilitate Further Growth of Female Financial Advisors’ Businesses | Business Wire - Ladenburg Partners with The W Source™ to Facilitate Further Growth of Female Financial Advisors’ Businesses   Alliance Between Ladenburg Institute of Women & Finance and The W Source™ Seeks to Strengthen Initiatives That Support Women in...

SEC News - Fraud, Asset Freeze, and a Barred Adviser - SEC Charges Company and Executives in Oil-and-Gas Offering Fraud The SEC has charged a Dallas-based oil-and-gas company and two of its executives with defrauding investors out of at least $950,000 through a string of fraudulent oil-and-gas...

SEC Halts Fraudulent ICO - ICO Investment? SEC Halts Unregistered ICO New investments bring new frauds, or sometimes just variations on a theme.. This true with cryptocurrency, demonstrated by the SEC's recent charges against two co-founders of a purported financial...

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