Compliance

Royal Alliance must pay more than $2.5 million to one ex-client while dealing with charges against the firm and a former rep by William Galvin’s office.

Financial advisors and their firms are providing zero-interest loans, free counseling and fresh ideas for some 800,000 federal workers going without pay.

Advisors should pay attention to compliance issues and evolving expectations from clients.

Nobody at the firm today owns more of its stock than Greg Palm.

There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.

From the SEC to the Supreme Court, here's what could be playing out this year.

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.

The SEC is running on a skeleton crew that effectively halts routine oversight.

Investigators say the onetime FiNet branch manager preyed on “particularly vulnerable” clients, including several with dementia.

The IBD network’s parent repurchased the majority of Dr. Phillip Frost’s shares just before the SEC filed proposed settlements of its pump-and-dump case.

The clients say their advisor improperly invested their funds in a Miami Beach nightclub that failed.

Tim Sloan is finishing a year in which the Federal Reserve told the bank to stop growing, scandals emerged in more divisions, and the stock tumbled 25%.

A niece thought her aunt’s caretaker was stealing. How much can an advisor do?

The regulator says it will keep an eye on issues like cybersecurity and cryptocurrencies.

Advisors from across 79 branches were involved in selling offerings to family members and other brokers, including stock in Facebook, General Motors, LinkedIn and Twitter.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors

The fintech did not contact the Securities Investor Protection Corporation to discuss protection for deposits, according to its CEO Stephen Harbeck.

When faced with a regulatory challenge, advisors can’t be afraid to question authorities.

The regulator details numerous (and familiar) compliance failures in its annual summary of exam findings.

The rarely dinged firm joined peers grappling with two issues: mutual fund fees and supervision of advisors who've been sanctioned multiple times.