SEC

The new regulations are the latest attempt to ensure investors can't flee the funds in a panic during economic downturns.

An Army financial counselor defrauded loved ones of fallen soldiers for millions of dollars while breaching the rules of his position, federal prosecutors say.

A staff member in the firm's fraud investigations group found reporting failures dating back to 2009.

The ex-financial advisors used clients' money on their businesses and other expenses like homes and travel, according to investigators.

The regulator's court victory wraps up years of litigation against a financial planner accused of defrauding at least nine clients of more than $1 million.

The plaintiffs plan to argue the current system deprives them of their right to a jury trial in cases involving securities allegations.

The widely varying disclosures at some of the largest companies display how the common brokerage industry conflict of interest generates a fortune for them each year.

The principals at Legend Venture Partners stand accused of making millions by offering shares in pre-IPO companies without disclosing markups to investors.

More than 60% of registered investment advisory firms force complaints into forums that cost more and may give them fewer rights than FINRA, the regulator said.

The panel's recommendation would also seek comments on the possibility of outsourcing some review functions to third-party firms.