Regulation

The case reflects the extent of industry efforts — and failures to enforce — guidelines such as customer identification programs.

Regulators have handed down more than $3 billion in penalties over employees' alleged failures to record business-related messages sent on services like WhatsApp.

Regulators accused the online brokerage of failing to accurately report trades, comply with short selling rules and maintain proper books and records, among other things.

Lawsuits before the Supreme Court and in lower federal courts across the country could further reduce enforcement powers at the IRS and the SEC this year.

Michael and David Sztrom, who settled fraud allegations with the SEC in 2022, contend the regulators' "follow on" attempt to boot them from the industry violates their constitutional rights.

Robert Daly was part of a star team that left Morgan Stanley in 2023 to join First Republic and has since been barred from the industry.

The "model rule" for state regulators is meant to help clients distinguish between advisors who earn management fees and brokers who collect transaction-based commissions.

A FINRA arbitration panel sided with a claimant who contended Wells and one of its advisors should have recognized telltale signs of elder fraud when their client decided to give away tens of thousands of shares of Aflac stock.

The SEC should amend the regulation in order to help workers who can't afford to wait for an IPO to access the value of their equity.

Edward Turley, a once high-flying advisor booted from the industry in 2022, is at the center of a dozen client settlements costing JPMorgan upward of $63 million.