Regulation

State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.

The proposals failed to show how exchanges would “prevent fraudulent and manipulative acts and practices," the commission said.

The firm "deprived its clients of unbiased financial advice," the regulator says.

Here's what I've realized since I penned my original missive to the commission.

FINRA released internal data in the regulator’s first-ever such report, highlighting changes in the wealth management space.

Five fired and barred former registered reps stole more than $1 million from clients over a four-year period, according to the regulator.

Clashes over the Labor Department's fiduciary rule have carried over into the debate on the SEC's proposed regulation.

The SEC, wary of bringing crypto to the masses, postponed a decision last week from VanEck and SolidX and rejected a proposal from the Winklevoss twins.

Violating this FINRA rule has extremely serious consequences including termination and disciplinary action.

The bank disclosed earlier this month that it faces a U.S. inquiry into its purchase of low-income housing credits.