The hearing last month explored the legal process for enforcing the fiduciary duty of retirement plans to avoid excessive recordkeeping fees.

Former UBS employee Cody Rice acknowledges that his politics and personal traits made him an outlier in the ESG world. But that, he says in a lawsuit, was no excuse for the treatment he received.

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack up more than two dozen customer complaints that were eventually settled for millions.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would receive compensation for lending out their brokerage holdings.

For financial advisors, the hardest part of soliciting and posting SEC-compliant reviews can be overcoming reluctance on the compliance end.

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an 84-year-old widow from stealing his mother's life savings.

Regulators can still conduct informal investigations but need higher-up permission to issue subpoenas for testimony or documents.

Millions more taxpayers will be receiving the Form 1099-K in the mail this year for the first time if they were paid $5,000 or more last year.

Rodney Halvorson says he agreed to join Morgan Stanley only if he could take two wealthy Mexican clients with him. But his transfers were blocked amid heightened money-laundering scrutiny.

With Gary Gensler's "Wild West" in the rearview mirror, a less combative approach to cryptocurrency looks likely to boost product innovation and investor adoption.