Regulation

In this circus of an industry, what chance does an average investor have of finding somebody who will actually work on his or her behalf?

The regulator accuses her of misconduct; she says the agency is doing Morgan Stanley’s bidding.

Tim Sloan is finishing a year in which the Federal Reserve told the bank to stop growing, scandals emerged in more divisions, and the stock tumbled 25%.

Wall Street’s main regulator has made ADR sales a focus of its enforcement efforts.

The alleged supervisory lapses occurred over a five-year period, according to the regulator.

The certification could stop being the gold standard and become the requirement, if only the regulatory path were clearer.

A niece thought her aunt’s caretaker was stealing. How much can an advisor do?

The regulator says it will keep an eye on issues like cybersecurity and cryptocurrencies.

Firms fined for misleading statements about products and performance — a possible sign that the commission is increasing its surveillance of digital investment platforms.

Advisors from across 79 branches were involved in selling offerings to family members and other brokers, including stock in Facebook, General Motors, LinkedIn and Twitter.