Yan Zhao, President of NYDIG as she exploreshow Bitcoin is experiencing wider adoption in the traditional finance world, and why that is.

The firm will pay restitution and fines to settle allegations that it failed to flag more than 100 client accounts for overconcentration in high-yield bonds.

The firm faces an additional penalty after it didn’t participate in the regulator’s self-reporting initiative.

Hester Peirce will become the only GOP commissioner at the agency.

'Planning has been put on hold, because no one knows what the rules of the game are,' says one accounting firm partner.

The regulator’s frequent reviews display shortcomings in three different areas, according to a new GAO report.

JPMorgan Chase executives were supposed to make sure employee communications were archived for regulatory scrutiny. But for years, even the bosses were using their mobile phones to tap out work-related messages — a practice so pervasive that U.S. authorities dropped the hammer Friday, imposing $200 million in fines.

Advocacy clinics at law schools can help protect vulnerable clients, but only if they're well-funded and widely distributed.

The orders from FINRA and the SEC respectively fault the firms for unsuitable rollovers and deficiencies exposed in a microcap scheme.

Former rep Edward L. Turley has at least five other pending arbitration cases seeking more than $62 million in damages.

A broker and a sales associate from his office face separate cases that have resulted in at least $1.18 million in payouts from their former firm.

Join industry experts to explore how financial institutions can better prepare for future compliance issues associated with the evolving landscape.

The U.S. brokerage arm of the Swiss bank must pay damages under a FINRA arbitration case otherwise found to be ‘clearly erroneous.’

JPMorgan Chase is preparing to pay roughly $200 million to resolve U.S. regulatory investigations into lapses over monitoring employee communications.

Increasing regulatory complexity and cost pressure is driving the latest trend in tech investing.

The wirehouse and its independent arm failed to store millions of documents in the right format over a 17-year span, the regulator says.

FINRA arbitrators tossed the case alleging negligence and fraudulent misrepresentation based on the wirehouse’s earlier settlement with the estate.

Brokerages cannot be held to the same standard as financial advisors, the fintech company argued.

The settlement follows at least three other cases involving the bank-based brokerage’s supervision this year.

The case revolved around unit investment trusts, the same product that later showed up in a major SEC enforcement action against the brokerage.