Can broker-dealers legally force reps to purchase E&O insurance?

Identifying problem transactions immediately can help keep you off the witness stand.

The regulator may make it harder for some brokers to clear their name.

JPMorgan Chase’s reported attempt to get the FDIC to pay part of its settlement with the government is yet another chapter in a long-running dispute over the 2008 resolution of Washington Mutual.

Challenges to social media protocols by employees fired for violating them are succeeding with increasing frequency.

The top U.S. derivatives regulator gave Wall Street two months to abide by a new policy imposing Dodd-Frank Act rules on banks when they arrange trades domestically and then book them overseas.

November's hot stories were a wide ranging lot. Check out this month’s big winners.

A former employee at an Ohio branch of U.S. Bancorp pleaded guilty Friday to charges that he accepted $24,000 in kickbacks from debt collectors in exchange for giving them business.

Retired Congressman Barney Frank, one of the architects of the Dodd-Frank financial reform law, called Friday for both stringent standards and lenient enforcement around the law's much-watched Volcker rule.

MBIA agreed to insure a $1.16 billion pool of mortgages without its employees reading a report the bond insurer now claims was altered to hide flaws in the loans, JPMorgan Chase’s lawyers told a judge.

An SEC advisory committee on Friday recommended that the commission appeal to Congress for authority to collect user fees from advisors to enhance its oversight of the RIA sector and enact rules to tighten regulation of broker-dealers.

Senior financial services executives said the industry needed to move more quickly to promote diversity and inclusion throughout the organization.

Janet Yellen’s nomination to be chairman of the Federal Reserve won support from the Senate Banking Committee today in a 14-8 vote, moving her bid to be the Fed’s first female head to the Senate for confirmation.

Community groups are uniting to protest Regions Financial's short-term loan program, calling on the Birmingham, Ala., company to ditch its "Ready Advance" product.

The Justice Department’s $13 billion mortgage securities settlement with JPMorgan Chase is a record and also a rarity -- Attorney General Eric Holder’s first big win against a bank at the heart of 2008’s financial crisis.

Dubai, which teetered on the brink of default in 2009, is cracking down on misconduct at its financial center to safeguard its position as a business hub.

Two Florida advisors have been charged with defrauding their clients, including many retirees, in an offshore fraud scam.

Government officials believe ever-intensifying regulatory requirements will force the largest banks to shrink and simplify to the point they are no longer a threat to the financial system. But bankers see a different future.

JPMorgan Reaches Record $13 Billion Mortgage Pact With U.S.

JPMorgan Chase & Co. reached a $13 billion deal with the U.S. Justice Department that ends probes into the bank’s sale of mortgage bonds, the largest amount paid by a financial firm in a settlement with the government.