Regulation

Regulators are looking to ensure Wells Fargo’s scandal over unauthorized customer accounts isn’t being repeated at other institutions.

Wells Fargo appears to have offered two different reasons for why it failed to inform investors about the investigation into 2 million phony accounts.

Investors added more than $750 million to ETFs that buy emerging-market stocks and bonds last week, extending the longest winning streak in more than a year.

"There's going to be a lot more raw data that firms will have to collect," says Paul Soltis, global market manager for fund administration service provider Confluence.

One of the sanctioned advisers has 26 disclosure events listed on his FINRA BrokerCheck record while remaining in good standing with Ameriprise.

The bank ignored fees on structured notes, and clients may have been shortchanged, a consultant says.

Tibergien: RIA valuations will sink. Seivert: Financing for deals will be just fine.

The regulator proposes new rules to protect aging clients.

The wirehouse agrees to pay a $2.8 million fine after the regulator discovers the bad reporting went on for years.

It's a planner's worst nightmare. Here's what to do when client data is compromised by a cyberattack.