Regulation

Aiming to build a unified experience for its members nationwide, the move follows fiduciary fallout and dissolution of its New York chapter.

The case involves allegations of improper use of the 83-year-old investment bank’s trademark and name.

The cases are among a series of such obstacles UBS has faced since the start of the financial crisis, including a $1.5 billion fine in 2012 for rigging the Libor benchmark.

The regulator is living up to its promise to overhaul exams and engage more — and one potential rule in the works would be “monumental," according to the IBD.

The regulator's investor advisory committee approved a set of recommendations for commission to clarify "best interest" advice for advisors and brokers.

New York legislators are set to reconsider a previously stalled fiduciary bill.

An ideologically driven political climate complicates the evolution of global interoperable mobile-driven commerce.

Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

Douglas P. Simanski allegedly told clients he would invest their money in a “tax-free,” fixed-rate investment, a rental car company and a coal mining firm.

Actions against advisors and fund companies accounted for nearly a quarter of all standalone cases, even while budget constraints and legal setbacks hobble enforcement efforts.