Compliance

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.

The representative had already been permitted to resign and suspended by state regulators, but the firm lost its case for additional damages.

The board is calling for public comment on a variety of changes and released FAQs for planners about new standards of conduct taking effect next year.

Be careful when giving gifts over $100 in value.

FINRA has warned of phony calls and emails from impersonators.

The cases are among a series of such obstacles UBS has faced since the start of the financial crisis, including a $1.5 billion fine in 2012 for rigging the Libor benchmark.

The regulator is living up to its promise to overhaul exams and engage more — and one potential rule in the works would be “monumental," according to the IBD.

An ideologically driven political climate complicates the evolution of global interoperable mobile-driven commerce.

Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

There are good reasons to worry that brokers are unfairly maligned.