Law and regulation

Regulators say that as threats continue to mount, they are expecting more formal policies and procedures from the firms they examine.

Even as a first step for clients seeking information on advisors, BrokerCheck is under scrutiny by advocacy groups.

Regulators have cracked down on LPL advisors in Massachusetts for using terms like "Retirement Specialist" and "Retirement Income Planning Specialist" -- while its planners use them elsewhere.

Head of industry group lobbying against the Labor Department's proposal is hopeful that the final regulation will address compliance objections and expand permissible transactions.

Advisors failed to win FINRA arbitration case for compensatory damages in excess of $5 million for a number of grievances.

A man accused of being part of an insider-trading scheme, and whose alleged co-conspirators include an ex-Morgan Stanley broker, will avoid paying a fine in settle SEC claims.

Those looking for easy answers from a government report about what caused recent volatility in the Treasury markets — including whether regulation is to blame — were likely disappointed.

White House reiterates support for controversial fiduciary proposal, outlines new initiatives to expand access to retirement savings plans.

The brokerage wants a judge to stop the former employee from claiming she remains employed by the firm, and from disclosing proprietary information on Facebook and other social media.

Goldman Sachs Group agreed to buy Imprint Capital Advisors, an asset-management firm that advises clients on investing based on their environmental, social and governance views.

A private client banker with J.P. Morgan Chase allegedly took $200 from a customer's wallet; and a personal banker from Wells Fargo Bank allegedly endorsed a check made payable to a client and deposited it into her personal account.

J.P. Morgan’s Matt Malloy has stepped down as head of institutional solutions and advisory.

Paul Reilly calls for more cooperation between regulators and the industry.

Asset management trade group appeals for restraint from U.S. and foreign regulators evaluating firms for designation as systemically important institutions.

Asset management trade group appeals for restraint from U.S. and foreign regulators evaluating firms for designation as systemically important institutions.

As waves of Americans reach retirement age while dementia and scams are on the rise, advisors need to implement training and reporting mechanisms to protect vulnerable clients.

The Camardas' suit was prompted by board’s disciplinary policies; experts call on judge to reveal his reasoning for the good of the planning profession.

The moves represent another blow to Barclays, which lost five advisors in advance of a pending deal to sell its U.S. wealth management operations to Stifel.

A FINRA arbitration panel ordered BNP Paribas Securities to compensate the couple for the losses they suffered as a result of an unsuitable security the firm sold them.

FSI endorses IBD head Brian Kovack for FINRA post; Kovack hopes to win mid-sized IBD seat in which he would says he would represent firms, not investors.