Regulation

Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.

Dynasty accuses Merrill of acting in distorting the court record in its attempt to force a dispute over a giant breakaway team before FINRA arbitrators.

A FINRA arbitration panel ordered Eileen Cure to pay back recruiting-loan debt and more after she was let over a "no Blacks" order she sent to her staff.

The latest victory in court for Jayne W. Di Vincenzo over Devin J. Garofalo may have finally ended the saga.

In a sternly written footnote, federal Judge Steven Merryday said the SEC's refusal to release information on its penalty calculations appears to "countenance duplicity, gamesmanship, neglect, insouciance" or worse.

Panelists said advisory firms should take urgent steps to get ahead of regulatory examinations focusing on AI use.

Mario Payne — an independent advisor who had used Charles Schwab and TD Ameritrade for custodial services — lands both firms in hot water over his recommendations of risky investment products.

Lawyers note that Ameriprise, despite its win, got relatively little of what it wanted and question whether the fight was worthwhile.

Paul Reid Galietto's lawyer says he was let go by Credit Suisse in 2021 after the firm tried to unfairly blame him for losses from the collapse of the giant family office Archegos Capital Management.

The platforms, where bets are placed on everything from U.K. soccer teams to the price of bitcoin, are getting traction from investors and attention from regulators.