Don't forget the wealth burned by collapsed exchanges, bankrupt lending programs and pump-and-dump altcoin trading.
The enforcement action is part of an ongoing crackdown by the agency against undocumented business communications.
The management firm claims it was deceived by Goldman when it was seeking to sell itself in 2022.
The firm agreed to pay more than $50 million to settle at least four CFTC cases last year.
Wendy Eldridge also claims in a lawsuit that her Marcum Wealth partners discriminated against her because she is a woman.
The online broker's rates last year were at one point 500 times less than the federal-funds rate, the suit alleges.
Sen. Ted Cruz called the SEC's proposal a "war on technology."
Finra alleged that Luke Johnson steered nine clients into $2.35 million worth of unsuitable investments.
“We just want to see how they work in the markets,” said Rob Pettman, head of LPL's wealth management solutions.
Brian Sewell's alleged fraud scheme cost 15 students about $1.2 million, the SEC said.
Under the legislation, investors would have the right to choose between arbitration and court action.
Lee Giobbie of Eastampton, N.J., was one of the first rioters to breach the Capitol building, prosecutors said.
The groups have formed a coalition to upend a dispute resolution system they say is "stacked against investors."
Robert C. Starnes moved $72,000 in client funds to personal accounts, federal prosecutors said.
The trade group's president said its appeals to the Department of Labor have fallen on deaf ears.
The company is arguing a Finra arbitration panel incorrectly awarded damages to one of its former brokers.
A look at the diversity of different RIA models reveals many are growth-challenged.
New white paper asks regulator to create policies and internal audits to eliminate unfair practices.
The bank is accused of failing to sufficiently protect customers from fraudsters.
Jesus Rodriguez of El Paso, Texas, allegedly robbed the accounts of 10 clients.