SEC

A $775,000 settlement for Waddell & Reed relating to its pre-LPL days displays how the regulator is ramping up enforcement of such cases, experts said.

With the broker behind bars since last year, the firm has paid nearly $2 million in client restitution and a regulatory fine over its mishandling of the account.

After a watchdog found problems with the regulator's examinations, the agency has repeatedly refused FP's requests for the details of them.

Midsize wealth manager Kovack Securities and its CEO settled two matters last month dating to his time as a member of FINRA's Board of Governors.

Alpine Securities has added to its long docket of run-ins with regulators over the last several years, alleging the SEC is piling on.

The company's CEO offered a rare perspective on what the industry can learn from it.

Securities arbitration experts say the Investor Justice Act would represent the SEC's first recurring grants for free counsel that's sorely missing.

The regulator provided a detailed listing of practices subject to tougher client-care standards for disclosure or outright elimination.

After Bernie Madoff's infamous Ponzi scheme, Congress formed a whistleblower program to prevent future scams. Now critics say the program itself has become "secretive and out of control."

Traders are splurging on “complex” ETFs to ride out the crushing bear market across assets.