Regulation

For the first time in an annual compliance report, FINRA devotes a section to AI risks, including from third-party vendors and scammers.

Henry Robert Gleckler IV's dispute with JPMorgan over his alleged solicitation of his former clients now heads for a resolution before a FINRA arbitration panel.

Nearly all the brokers who dropped their FINRA registration in the wake of tougher rules kept their insurance licenses, according to newly published research.

The fund manager, convicted of fraud by a New York federal jury in August 2024 and sentence to seven years, spent less than two weeks in prison before being released.

After the newly crypto-friendly Donald Trump won reelection, bitcoin jumped over $100,000. Many advisors and even more clients remain skeptical, though.

The latest SEC Enforcement Activity report finds that the watchdog agency has only started four regulatory cases against public companies under the current presidential administration.

Fiduciary laws trace their roots to ancient times, but the terms of the Investment Company Act of 1940 and the Investment Advisers Act are still evolving today.

The Financial Services Institute is pressing the Securities and Exchange Commission to adopt formal procedures to prevent what it deems the sometimes capricious enforcement of industry rules.

Matthew Madera has become the latest former JPMorgan private client advisor to be sued after leaving for another firm. In a recent stipulated order, he agreed to stop soliciting former clients until the dispute can be resolved.