SEC

Paul T. Lebel excessively traded shares that carried large front-end loads and "willfully disregarded the customers' interest," the agency said.

The request foreshadows how the senator will attempt to influence the next president's cabinet and other key nominations.

Dupree Financial Group was censured for shortfalls that firm's founder insists were not indicative of a lax compliance culture.

Employees inflated new client assets managed from the fourth quarter of 2011 to 2012 to meet sales targets, according to the regulator.

The first-ever case of its kind is putting other broker-dealers on notice about the regulator's enhanced abilities to identify patterns of abuse.

As rules pile up, industry leaders are looking for ways to help advisers navigate what they say has become a regulatory labyrinth.

Mary Jo White also said that the commission lacks sufficient resources to provide oversight of investment advisers.

The SEC's allegations against David Paterson were tied to a proposal to build the largest movie studio in North America.

The regulator has filed a complaint against whistleblower Johnny Burris, who has filed multiple cases against one of its largest member firms, JPMorgan.

The Institute for the Fiduciary Standard says the SEC and CFP Board have failed to define true client-first service. It aims to fill that gap with a new list.