SEC

State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.

The proposals failed to show how exchanges would “prevent fraudulent and manipulative acts and practices," the commission said.

The firm "deprived its clients of unbiased financial advice," the regulator says.

Here's what I've realized since I penned my original missive to the commission.

Five fired and barred former registered reps stole more than $1 million from clients over a four-year period, according to the regulator.

The SEC, wary of bringing crypto to the masses, postponed a decision last week from VanEck and SolidX and rejected a proposal from the Winklevoss twins.

The advisor used about $410,000 to pay back investors in Ponzi-like fashion to keep the scheme alive, the regulator says.

State Street and Goldman Sachs are planning a series of funds that would invest in everything from robotics to deep-sea exploration.

"The process has become enervating and exhausting and to the point where you don't even want to look at it anymore," an expert says.

The IBD network disclosed the renewal of its clearing agreement, along with three firms’ intention to self-report possible mutual fund violations to the SEC.

An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.

It's not too late for the the SEC to fix its flawed proposal before it issues its final rule, says the Democratic senator from Massachussetts.

The commission’s draft fails miserably as a consumer protection measure for the public and actually makes matters worse.

The SEC called into question the ability of the cryptocurrency’s exchanges to sufficiently police trading.

George L. Taylor and Temenos Advisory violated their fiduciary duty by pocketing commissions and concealing conflicts while the firm was in financial distress, the commission charges.

At least 17 individuals invested $13 million in the scheme, and many lost 'substantial portions' of their life savings, prosecutors say.

The funds allegedly paid for summer camp fees and a 1976 Corvette.

The broker forged client signatures on annuity withdrawal requests and misled clients into making what they thought were tax payments, the SEC claims.

The proposal would lay out formal steps for setting up less-complicated funds.

The industry is imagining more vibrant, more agile and more inclusive processes that deliver results, says Confluence CEO Mark Evans.