Regulation

Using these two simple techniques, one firm acquired over 100 new clients through social media last year.

FINRA is examining whether Wall Street firms overcharge investors on some bond trades and whether they unfairly allocate new corporate debt issues to reward certain clients.

The House Committee on Small Business held a hearing to discuss the biggest tax problems for small businesses.

A new study, backed by the industry, says the DoL's new rules could leave millions of workers without retirement advice.

UBS was ordered to pay a former broker at least $5.3 million in damages and fees after he said that the bank misled him about the risks of securities issued by Lehman Brothers Holdings.

Using these two simple techniques, one firm acquired over 100 new clients through social media last year.

New York's top banking regulator is joining the U.S. Justice Department in investigating whether Credit Suisse Group helped U.S. clients evade taxes, a person with knowledge of the matter said.

A trial attorney from the SEC said his bosses were too “tentative and fearful” to bring many Wall Street leaders to heel after the 2008 credit crisis, echoing the regulator’s outside critics.

The advisor was suspended for downloading reams of confidential, nonpublic information for more than 2,000 customers of a credit union where he had previously been employed.

The former president and chief executive of Gateway Bank in Oakland, Calif., has been accused of orchestrating a fraud scheme to disguise the bank's crumbling financial condition.