Industry watchdogs stayed busy trying to root out elder fraud and off-channel communications while plaintiffs lawyers' questioned firms' sweeps policies and regulators' basic authority.

FINRA charges restitution but forgoes punitive fines for the three firms after crediting them for cooperating in its investigation.

As Congress remains gridlocked, state legislatures are writing laws that force banks to report scams to the police. But the banks are pushing back.

Jefferies was among a group of firms cited by the SEC in its recent sweeping investigations into illegal "off channel" communications.

The optional standard mileage rate for automobiles driven for business will increase 3 cents next year.

Regulators accused UBS of not doing enough to monitor 22 brokers who generated commissions and sales concessions of syndicate preferred stocks.

From cryptocurrency to Medicare, 2025 is likely to be a year of change. Here's what nine experts are forecasting.

The case stems from Raymond James' recruitment of the $2.8 billion Wise Advisor Group from Baird, which also landed a penalty for a broker protocol violation.

The rival firms will pay for a forensic consultant to preserve evidence of transferred confidential data while they await FINRA arbitration.

The deadline is fast approaching for brokerages to register home offices for employees performing supervisory functions.