Compliance

Douglas Cowgill, the firm's president and chief compliance officer, attempted to disguise the shortfall from SEC examiners by entering a fake trade in the firm's account records, according to the SEC complaint.

Barclays Plc, Credit Suisse Group and UBS will face questions this week about key banker departures, legal challenges and their efforts to boost profitability.

The advisor appealed FINRA's decision to suspend him for 90 days after the regulator extended the original 10-day suspension. Now, he's appealing his case to the SEC.

SEC Chairman Mary Jo White also lamented the commission's inadequate oversight of the RIA sector amid limited resources and an understaffed team of examiners, telling lawmakers she hopes to expand the examination staff through a $1.7 billion appropriation.

Bank of America's discovery that it submitted incorrect information to the Federal Reserve Board during its recent stress test could undermine what has already become an overly complex exercise.

Hedge funds and private-equity firms have created bogus service providers to boost fees they charge to portfolio companies and investors, SEC Chair Mary Jo White will tell lawmakers in Washington today.

FINRA is moving to toughen reporting requirements for BrokerCheck, following revelations that hundreds of registered advisors have failed to publicly disclose personal bankruptcies, criminal charges and other potentially damaging information.

In a court filing, the CFP Board says it has logged more than 2,000 hours of legal work in a lawsuit by two Florida planners.

The IRS has released the 2015 inflation-adjusted deduction limitations for annual contributions to a health savings account.

Independent planners can not win a battle against Wall Street unless they find a way to defeat well-funded lobbyists in the industry.

Advisory firms need to have a solid process in place for archiving and monitoring social media use before they jump into the social arena.

Paul Volcker hasn’t endeared himself to Wall Street bond dealers. That’s just fine with Fidelity Investments.

Two former brokers with U.S. Bancorp Investments and HSBC Securities were banned from the industry for trying to cheat their customers.

Legal expert Alan J. Foxman offers advisors advice on how to navigate the compliance issues when a divorce threatens to leave a stain on a broker's record.

"There's a lot of nuance that's not reflected in simply listing personal bankruptcy," says Mark Witaschek, whose bankruptcy was cited in a board announcement.

The SEC is weighing a requirement that brokers tell investors exactly where their stock trades go to be executed, a proposal that may address complaints that the decisions are sometimes made against the client’s best interests.

New York Attorney General Eric Schneiderman sent subpoenas to six high-frequency trading firms seeking information about special arrangements they have with exchanges and dark pools as well as their trading strategies, according to a person familiar with the matter.

The broker-dealer was censured and fined for selling unsuitable exchange-traded funds to customers.

John Taft, CEO of RBC Wealth Management-U.S., shares his insight on upcoming regulatory changes, an ever-more complex marketplace and leadership.

The Office of the Comptroller of the Currency is likely to make changes to its proposal outlining the "heightened expectations" the largest banks must face after the industry raised concerns that certain provisions could backfire.