SEC

Jonathan Vincent Glenn's admissions follow his $3 million settlement with the SEC over similar charges.

Mandating the use of pricey arbitrators for retail investor complaints makes no sense — other than to make the process prohibitively expensive, argue two investor advocates.

Citigroup will pay almost $2 million to settle SEC allegation that two of the bank's brokerages recommended trades to customers without appropriately mailing disclosures to them.

Perella Weinberg's self-reporting of violations led to a much smaller fine than those imposed on other firms.

Former SEC lawyers say regulators are now likely going through their cases and deciding which are emergencies worth pursuing even if the agency's staffing is severely reduced.

Reuters reports that federal regulators have brokered deals with two dozen firms.

The proposal comes amid the broker-dealer regulator's push for a pilot program to test out branch reviews done at a distance rather than in person.

The SEC also alleges the firm's founder invested clients' money through a fund that employed his wife without disclosing the conflict.

Regulators accused the investment technology firm of not disclosing fees that ate into clients' interest payments.

Matthew Motil stands accused of raising more than $11 million by misleading investors about mortgage-backed promissory notes.

An SEC panel meets to question who should meet the criteria for putting money into complex and possibly risky investments.

Mutual funds will have to take extra care when using terms like ESG, value and growth.

GlennCap and its founder stood accused of directing the best investment returns to clients who paid the most.

The industry group wants the federal regulator to do more to take into account how proposed regulations are likely to affect the majority of wealth managers.

The SEC accused the firm of raising a sixth round of funding even though red flags were popping up left and right.

State regulators discovered fewer deficiencies with investment advisors but some say they could be doing more to protect vulnerable clients.

The advisors were all charged with advertising hypothetical performance results without taking into account the particular needs of their audiences.

The Wall Street watchdog looks for factors like repeat violations and staff members with a history of disciplinary troubles.

The fees will vary depending on whether they're assessed on equities, options or over-the-counter equities.

Regulators allege the CPA provided an air of legitimacy to John J. Woods' scam that defrauded 400 clients in 20 states.