The regulator alleges a lack of safeguards exposed the personal information of thousands of clients.
With the cease-and-desist order, attorneys might take aim at the publisher over alleged misleading statements.
The legislation aims to increase the rate at which PE and hedge fund managers are taxed.
Wall Street tries to divine when the central bank will start winding down its bond buying.
Darren Reynolds advised nearly 300 clients to transfer out of their pensions and into high-risk investments.