SEC

The regulator was operating with three of five commissioners before Chairwoman Mary Jo White left.

Michael J. Breton admitted to using master accounts from Fidelity and Schwab to take winning investments for himself, while giving clients the losers, the Department of Justice says.

The settlement comes two weeks after Citigroup resolved similar charges with the New York Attorney General's office.

The brokerage industry’s watchdog would also want to play an active role in the design of a possible SEC fiduciary regulation, Robert Cook says.

Coding and other billing system errors were to blame, according to the regulator.

Advisers have been warned: SEC's exam guidance to focus on cyber threats and issues involving seniors, leaving little excuse for noncompliance.

OSHA supports ex-broker Johnny Burris’ firing because he allegedly faked company letterhead. Burris says the bank approved the altered letter years before.

The decision vindicates ex-broker Johnny Burris, but also supports the move to fire him. However, a bank document obtained by Financial Planning casts doubts on the reason for his termination.

The advisor paid $50,000 to a widow's lawyer to refer her $100 million account to him – a fact he failed to disclose to the client, the agency claims.

With a deep résumé representing Wall Street firms, Jay Clayton is seen as a business-friendly choice not expected to push major new regulations or ramp up RIA exams.

Jay Clayton represented the bank in connection with the $10 billion bailout it received in 2008 as part of the government’s $700 billion rescue of banks during the financial crisis.

Charles J. Dushek allegedly made trades without designating in advance whether he was trading personal money or client assets.

The firm was accused of using transactions with an affiliate to reduce the amount it was required to keep in its customer reserve account.

With cybercrime an increasing threat to small financial firms, it’s important to have a comprehensive defensive program in place.

Dan Moisand's firm joins the Institute for the Fiduciary Standard's new listing. Moisand is a former CFP Board official and ex-president of the FPA.

The allegations come a year after the firm paid over $300 million to resolve regulators' claims that it failed to tell wealthy clients it was steering them into its own funds.

Ex-RIA Richard G. Cody gave false reports to retirees for more than a decade, the SEC says. Many lost most of their life savings.

Advisers and experts offer insights about the changes and issues the industry will face next year.

Former Department of Labor officials allege systemic breakdown of whistleblower protection; two also handled Wells Fargo cases that went nowhere.

There's another approach to crafting a regulation that would benefit advisers and clients, RBC Wealth Management's former CEO says.