The firm characterizes the cause examination, a procedure that typically originates from a customer complaint, as a routine matter.

Novel legal theories and a lower bar for plaintiffs could unleash an explosion in ERISA-based lawsuits against 401(k) plan providers.

A judge found that the alleged victims of a scam run by a now-disgraced representative of Oppenheimer furnished no evidence of having direct ties to the firm.

Critics have called for an overhaul of the confusing rules that they argue often leave investors paying taxes in the wake of falling into fraudsters' traps.

A disjointed response, a lack of an agreed definition and unreliable statistics on losses hinder antifraud efforts by the government and industry, the GAO says.

The Treasury and IRS plan to withdraw regulations that labeled basis-shifting transactions among partnerships and related parties as "transactions of interest."

The industry rivals are back in court with fresh allegations that Ameriprise falsely warned its former clients that LPL misappropriated their account information.

The legislation blocks a rule that would have forced some cryptocurrency brokers to provide tax information on transactions on their platforms.

Evan Becht told a FINRA arbitrator that he has not been able to find another job since JPMorgan's reasons for terminating him became listed on his BrokerCheck page.

States can now adopt a model rule that will prevent brokers from holding themselves out to the public as "advisors" or "advisers."