Regulation

While some are mainstays, there are a few new ones to add to the list this year.

The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.

Focus turns to the SEC as it considers creating its own higher standard of client care.

Investors were bilked out of approximately $611,000, say federal prosecutors.

Fearing the broker would leave, Citi distorted incidents he had with two colleagues in order to fire him and take his $200 million book of business, the broker’s lawyer says.

Pinnacle Investments tapped Ami Forte despite her ongoing legal struggles with her former firm and Home Shopping Network founder Roy Speer’s estate.

With the SEC and Labor Department rethinking their approach to a higher standard, a court's recent ruling may not have a lasting impact.

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.

From inappropriate touching to belittling comments, women advisors confront workplace environments that are far from welcoming.

FINRA accused the advisor of unlawfully "structuring" a total of $77,560 by depositing cash into his bank accounts in amounts just below the $10,000 reporting threshold.