After Congress, the Federal Reserve, the Federal Housing Federal Agency and, last but not least, the Securities and Exchange Commission all failed to recognize the hazardous levels that mortgage-backed securities were reaching in 2008, regulators realized something was seriously wrong.

He didn't want to lose and didn't want to do what was necessary to win.

Our legal expert discusses when you must report a claim against you even if you didn't do anything wrong.

Trading on the New York Stock Exchange in the common stock of the parent company of American Airlines will be halted after next Wednesday.

Credit Suisse Securities has been fined $1.75 million by the Financial Industry Regulatory Authority for failing to properly supervise short-selling activity.

Credit Suisse Securities has been fined $1.75 million by FINRA for failing to properly supervise short-selling activity.

The Securities and Exchange Commission has closed a loophole that previously allowed individuals to artificially inflate net worth before investing in unregistered securities offerings. Advisers are generally supportive of the change.

The MF Global collapse provides an important lesson concerning the effectiveness of the principal, or proprietary, banking model. Leading up to the financial crisis, principal banking had replaced slow-growing, client-focused agency banking as the dominant model for large banks. Institutions focused on executing transactions as principals for their own accounts instead of for their clients.

Financial planners who work with households with $1 million in investable assets say the rule makes sense.

A FINRA arbitration panel slapped a former Bank of America Merrill Lynch financial advisor – now with U.S. Bancorp Investments – with an injunction that will prohibit him from soliciting his former clients until October 2012.

Federal regulators unveiled a highly-anticipated proposal that details how they plan to regulate the largest domestic financial firms, including new capital and liquidity requirements.

The U.S. Attorney's Office for the Southern District of New York said that the former controller of accounts at Bernard L. Madoff Investment Securities pled guilty to four counts of falsifying records.

inShare WASHINGTON — Federal regulators Tuesday unveiled a highly-anticipated proposal that details how they plan to regulate the largest domestic financial firms, including new capital and liquidity requirements.

A jury for the U.S. District Court for the Southern District of New York has ruled in favor of an SEC lawsuit against a former Prudential Securities registered rep for market timing mutual funds between 2001 and 2003.

A jury for the U.S. District Court for the Southern District of New York has ruled in favor of a Securities and Exchange Commission lawsuit against a former Prudential Securities registered rep for market timing mutual funds between 2001 and 2003.

The U.S. Attorney’s Office for the Southern District of New York said that the former controller of accounts at Bernard L. Madoff Investment Securities pled guilty to four counts of falsifying records.

More than 80% of investment advisors would prefer to pay user fees to fund greater SEC oversight than to be overseen by a self-regulatory organization, a major new study found.

A new rule proposed by FINRA to help carrying and clearing firms transfer customer accounts if they go bust will be too cumbersome and costly to follow.

A new rule proposed by FINRA to help carrying and clearing firms transfer customer accounts if they go bust will be too cumbersome and costly to follow.

The Securities and Exchange Commission brought civil charges Friday against former Fannie Mae CEO Daniel Mudd, 53, former Freddie Mac CEO Richard Syron, 68, and four other ex-officers. The charges were brought in the U.S. District Court in Manhattan.