Financial regulations

Tightening regulations and digital innovations are among the most important issues facing distribution channels, executives say.

"The process has become enervating and exhausting and to the point where you don't even want to look at it anymore," an expert says.

Confidential emails reveal a top Wells Fargo advisor’s despair after he cried fraud. He could stay at Wells if he was silent, but spoke up anyway — and became a whistleblower.

The SEC called into question the ability of the cryptocurrency’s exchanges to sufficiently police trading.

George L. Taylor and Temenos Advisory violated their fiduciary duty by pocketing commissions and concealing conflicts while the firm was in financial distress, the commission charges.

A large portion of the company’s 100 million-plus Prime subscribers fit the same profile as mutual fund buyers, Sanford C. Bernstein analysts say.

The dispute centered on the firm’s handling of Puerto Rican municipal bonds.

The rep helped the customer conceal the true source of funds into his accounts, FINRA claimed.

The fees affected hundreds of thousands of customers and the total cost could climb to more than $180 million, according to a report in The Wall Street Journal.

The broker-dealer failed to supervise Infinex registered reps selling annuities and other products to seniors and other investors at local banks.