Regulation

The bank's decision to select its general counsel as successor to Tim Sloan, albeit on a temporary basis, focused attention on its frayed relationships with the Federal Reserve and the OCC.

Advisors and trade groups resist a patchwork of regulations, saying it would limit consumer choice and increase firms’ expenses.

The justices said bankers can be held liable for sending clients deceptive information written by others.

One tipster will get $37 million, the third-biggest ever for the agency's whistleblower program.

The regulator also faulted Merrill’s supervisory policies and procedures.

The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.

The firm’s founder “knowingly engaged in a multi-year scheme to mask the poor performance of one of the funds’ largest investments,” the SEC alleged.

The Massachusetts Democrat has repeatedly called for Tim Sloan’s ouster due to the bank's scandals that first came to light in 2016.

The independent broker-dealer accidentally published a list of credits of its most lucrative advisors.

Chuck Person persuaded student-athletes to form illegal business relationships with at least one financial advisor.