Regulation

Wary investors pushed the S&P 500 Index of equities to its longest slump since 1980.

FINRA claimed the firm failed to adequately supervise the execution and approval of powers of attorneys submitted by non-U.S. customers of J.P. Morgan Private Bank.

A federal judge categorically rejects claims by an insurance group that the agency overreached. The ruling "sets the tone" for other suits nationwide, an investor advocate says.

Key people should be focused on rainmaking, not endless other tasks.

While a federal court allowed the organization to file a brief saying it upheld fiduciary values, it should not be providing expert opinions, writes the founder of a fiduciary consulting firm.

The firm is going for a middle-of-the-road approach that includes fee-based retirement accounts and which also relies on the best interest contract exemption with certain clients, says CEO Ron Kruszewski.

If you plan to join another firm or go indie, you’d better reacquaint yourself with this landmark agreement first.

Amid reports of a possible sale, assets rise and expenses fall.

Proponents of internal crossing say it can reduce costs, while detractors say it's riddled with potential conflicts of interest.

Friends and business associates lost $2 million in a Ponzi-like scheme.