SEC

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.

The Ladenburg IBD failed to spot the red flags of a barred ex-advisor who later pleaded guilty to fraud, former clients say.

Experts caution advisors to take document requests seriously. Also, it doesn't hurt to set a collaborative tone at the very beginning.

The presidential hopeful ups the pressure on FINRA and lays down another plank in a platform seen as hostile to Wall Street.

Under the firm's CEO, who is also its chief compliance officer, the alleged scheme continued undetected for seven years, the SEC says.

Advisors and trade groups resist a patchwork of regulations, saying it would limit consumer choice and increase firms’ expenses.

The justices said bankers can be held liable for sending clients deceptive information written by others.

One tipster will get $37 million, the third-biggest ever for the agency's whistleblower program.

The regulator also faulted Merrill’s supervisory policies and procedures.

The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.