States Sue SEC Over Best Interest Rule
Last month, attorneys general from seven states filed suit against [...]
Philadelphia Investment Manager Arrested
Earlier this fall, the U.S. Securities and Exchange Commission (“SEC”) [...]
SEC Adopts Regulation Best Interest and Other Reforms Aimed at Protecting Retail Investors
Last week, the Securities and Exchange Commission passed a package [...]
Logos Wealth Advisor Founder and Fund Manager Barred by SEC
By Tom Costello of Costello Law Group Paul Mata and David Kayatta, operators [...]
Ex Eagles Player in Trouble with the SEC
By Tom Costello of Costello Law Group The Securities and Exchange Commission filed [...]
Broker Barred for Biosyntec Investments
By Tom Costello of Costello Law Group The Securities and Exchange Commission has [...]
Firm and Founder Expelled from the Securities Industry
By Tom Costello of Costello Law Group William Marshall Dratel and his firm, [...]
Radio Show Host Barred by the SEC
By Tom Costello of Costello Law Group Washington, D.C. based financial advisor and [...]
Advisor to Pro Athletes Swindles $2.35 Million
By Tom Costello of Costello Law Group Louis Martin Blazer, III, a financial [...]
Equinox to Refund Investors $5.4 million
By Tom Costello of Costello Law Group Alternative fund manager Equinox Fund Management, [...]