SEC

The independent broker-dealer accidentally published a list of credits of its most lucrative advisors.

Chuck Person persuaded student-athletes to form illegal business relationships with at least one financial advisor.

The ex-advisor and self-described "Money Doctor" solicited older clients on his radio shows, the regulator says.

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

The increased scrutiny focuses on the algorithms at the heart of automated investment decisions.

The RIA divisions of Raymond James and RBC are also among the companies that self-reported.

The company said it might have to spend as much as $2.7 billion to resolve a variety of investigations and other legal troubles.

The IBD is one of three dozen firms the regulator has accused of failing to provide sales-charge waivers to eligible retirement plans and charities since 2015.

Firms can expect scrutiny of their compliance with the regulator's Custody Rule, compensation and account placement.

Thomas Buck misled clients in order to charge them excessive commissions, according to federal prosecutors.