Regulation

With the federal government standing down, attorneys general from California, New York and Oregon make a late appeal to save the rule.

There are three top specialties that survey takers said they want when choosing a new financial planner, with one clear winner.

Co-chiefs of the SEC’s Division of Enforcement tout a program aimed at repaying investors for excessive mutual fund fees as a new approach to curbing industry abuses.

Banks such as UBS aim to offer money managers refuge from jittery markets by combining bonds with more exotic options.

The brokerage sector and investor advocates are gearing up for a fight over broker provisions.

The rep processed a $9,850 wire request from an imposter posing as a customer, even after the customer called to say that the request was not genuine, FINRA claimed.

The firm cannot increase assets until it comes up with a plan to fix its internal controls.

Kwame Brown has played for teams such as the Los Angeles Lakers and Washington Wizards.

Former advisor Paul Marshall's prison term "will be little solace to the dozen victims who lost their life savings due to his greed and callous concern for their well-being,” the FBI says.

Clients thought they were investing in real estate developments that would be flipped for profit.