The U.S. Chamber of Commerce and other business groups contend the Federal Trade Commission has exceeded its authority in nullifying contracts that prohibit employees from switching jobs to competitors.

The prohibition would be on most contract provisions meant to keep emplolyees from taking jobs with competitors.

Caz Craffy admitted to taking nearly $10 million entrusted to him by Gold Star families and using it for excessive trades through outside brokerage firms.

Opponents haven't stated publicly that they will file a lawsuit, but one will almost certainly challenge the Biden administration's expansion of the fiduciary duty.

The Wall Street regulator stands accused of a "gross abuse" of power in its investigation into the digital assets firm DEBT Box.

The ban comes after the Wall Street regulator's imposition of nearly $3 billion on fines for failing to track and record communications sent on messaging apps.

The regulator's Consolidated Audit Trail database, intended to collect trading data, is in legal crosshairs again over privacy issues.

Morgan Stanley CEO Ted Pick downplayed the importance of government investigations into potential money laundering issues involving wealth management clients. "We've been focused on our client on-boarding and monitoring processes for a good while," he said.

An expungement lawyer contends firms have an incentive to tar the reputation of departing brokers in an attempt to retain assets under management.

The SEC, the Office of the Comptroller of the Currency and other Treasury Department offices arre all looking into the Wall Street giant's anti-money laundering measures.

The firm may pursue its claims through an administrative office at the agency after agreeing with the federal government to dismiss its case.

The Securities and Exchange Commission has temporarily stayed its climate-related disclosure rule amid a rash of lawsuits.

Lack of information and transparency — as well as lack of a true economic stress test — give the IMF pause over the rapidly growing investments.

Wirehouses are struggling to manage complex compensation plans and retain their employees, among other issues they face.

A new analysis of 110 years of state-level tax policies shows a migration of wealthy Americans to low-tax jurisdictions.

The high court heard arguments in a case about a commonly used succession planning tool for closely held businesses that may affect advisors' clients.

Senate Republicans don't want to hand President Joe Biden an election-year victory on the legislation, which includes both child and business tax breaks, lawmakers and aides have said. 

Having hit most of the big Wall Street firms with hefty fines for misusing WhatsApp and similar services, regulators are now turning their attention to independent advisors.

The giant insurer fired three financial advisors based on false claims about their specialty insurance consulting business, according to their attorney.

A magistrate judge finds the clients' family failed to put forward 'legally sound' claims that JPMorgan breached any duties by putting an elderly couple into risky securities tied to oil and gas.