SEC

A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.

Firms will be permitted to place a temporary hold on disbursements of funds when there is reasonable belief of financial exploitation.

A federal judge issued a restraining order and a temporary asset freeze against the former broker.

The senator isn't waiting for attorney Jay Clayton's confirmation hearing to ramp up her opposition.

The former adviser allegedly pocketed more than $300,000 from trades involving pharmaceutical stocks.

The barred broker used $2.5 million in client funds to buy a waterfront home in Rhode Island, authorities say.

The research giant says it aims to lower costs by removing a layer of fees paid to third-party managers.

The SEC decision ended a months-long rally that pushed the virtual money’s value higher than gold.

Even in the present deregulatory climate, the Treasury Department is pressing ahead with a rule to require advisors to screen for and report suspicious activity.

"The number of enforcement cases is likely to be down considerably going forward," said Urska Velikonja, a law professor at Emory University.