Compliance

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.

The Treasury Department and the IRS said they will treat 19 countries that have reached agreements with the U.S. on the FATCA as having those agreements in effect until the end of 2014.

Transamerica Financial Advisors, one of the nation's largest independent broker-dealers, is reimbursing more than 2,300 accounts in a settlement with the SEC after being charged by the regulator with improperly calculating advisory fees and overcharging clients.

Lawmakers from both sides of the political aisle reached a rare accord, pledging to further investigate allegations of retaliation and discrimination among employees of the Consumer Financial Protection Bureau.

Some advisors and industry players are encouraged by the SEC’s endorsement of certain social media practices while others fear it will open a dangerous Pandora’s Box.

Only 40 banks have their own brokerage units, a mere 2% of the 1,809 banks that offer investment services.

Clients can use social media to effortlessly endorse and recommend their investment advisors. Here's what advisors must understand about client testimonials on social media.

As regulatory scrutiny intensifies, advisors must design and support policies and processes to avoid compliance missteps. New technology tools can help.

Lawyers and clients are considering legal action to obtain new arbitration cases or revisit decisions amid allegations that a former FINRA arbitrator lied about being an attorney during his 15-year tenure.

Attorney, author and financial fraud expert Kathy Phelps offers advice on how to protect clients from falling victim to a Ponzi scheme.

Under FINRA rules, plaintiffs may be able to demand a trial.

As service models shift, dually registered advisors have been making big competitive gains. Now the SEC has them in its regulatory sights.

FINRA continues to tighten its rules to make sure investors get suitable advice. Meanwhile, advisors are trying to keep their heads above water.

A former executive of Weymouth Bank’s brokerage division and a former representative of M&T Bank Securities were barred from the industry for serious misconduct.

The U.S. Postal Service's inspector general defends a proposal - that the Postal Service should get into banking - that has come under fire from many in the financial industry.

Former UBS banker Mark Zaino walked out of court a free man Thursday after a federal judge chose to impose no further sentence on him for his role in rigging municipal bond contracts.