Financial regulations

With Elad Roisman’s appointment, Republicans could have a big advantage at the SEC by year end.

Robert Graham allegedly solicited clients into risky investments, which he directed to his private company. He is the ex-chief of the Arizona Republican Party.

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.

The rep mismarked 105 trades in five PNC customer accounts as unsolicited when in fact they were solicited, FINRA claimed.

The industry is imagining more vibrant, more agile and more inclusive processes that deliver results, says Confluence CEO Mark Evans.

Collusion and corruption allegedly prevented Wells Fargo whistleblowers, and a former JPMorgan advisor, from obtaining justice.

The rep cut and pasted or traced the signatures of 16 customers on more than 70 life insurance and annuity replacement forms and other documents.

The regulator barred an ex-Wells Fargo advisor for fooling the bank into reimbursing him for $3,400 after he falsely claimed that he was the victim of fraud.

The rep agreed to a six-month suspension and a $5,000 fine to settle claims that he wrote and deposited checks without sufficient funds to cover them.

The funds, which account for roughly 1% of the $3.5 trillion of assets in ETPs, “pose real risks to American families.”

“Our whistle-blower program is a critical component in our investor-protection toolbox,” SEC Chairman Jay Clayton says.