Penalties and fines

“I want to give a huge thank you to my clients” for feeding local families, Keith Springer blogged the same day the SEC filed its complaint.

Sixty-six SEC whistleblowers were awarded $387 million for a “job well done,” according to the commission's whistleblower attorney Stephen Kohn.

As the college savings vehicle grows in popularity, regulator up scrutiny of brokerages’ recommendations to clients.

The court is taking up a challenge to one of the agency’s most potent legal weapons.

The agency's goal of trying to recover client losses allows advisors accused of fraud to decide who'll manage their clients’ remaining assets.

The bank will pay $1.25 million for alleged supervisory failures.

The penalties come three months after Merrill Lynch settled similar charges.

The bank allegedly helped French clients evade taxes.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

The justices said bankers can be held liable for sending clients deceptive information written by others.