The case comes as employment suits related to mental health disabilities are expected to increase coming out of the pandemic.

The SEC's case against a barred former broker shows why regulators and the industry often struggle to catch repeat offenders before they harm investors again.

The service's Criminal Investigation unit investigated 975 tax and money laundering cases related to COVID-19 with fraud totaling $3.2 billion.

Cetera director of regulatory affairs sees Reg BI as a key way to preserve investor choices.

A 22-year veteran broker is headed to prison for "intentionally preying" on seniors and families of children with special needs, the district attorney says.

In an unusual case, regulators have accused a Boston investment advisor of violating his fiduciary duty by putting his clients into high-fee retirement products.

The incentive structures for both banks and large, sophisticated depositors have changed because of federal regulators' decision to guarantee the uninsured deposits of Silicon Valley Bank and Signature Bank.

Following the collapse of Silicon Valley Bank and a wider banking-sector panic this month, the smaller banks told regulators that explicitly insuring all deposits would stem the flow of money to the largest banks.

An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.

Is the banking sector in crisis? What happened, and what can bankers learn from this turmoil? Two of American Banker's reporters discuss the fallout and what comes next with the magazine's editor-in-chief.

Navigating challenges and what's ahead in banking regulation.

Part art, part science, Form ADV is the most important document an RIA will prepare — and one that will always require judgment calls.

The industry's fastest-growing business model puts two very different functions under one roof. Are investors — and advisors — clear on the differences?

Adam and Daniel Kaplan kept getting jobs at RIAs despite the disturbing allegations that led to their firings at other firms.

Two brokers who left Charles Schwab to join the rival firm thought they were safe to bring their client books with them. FINRA says they were wrong.

The chair warned that fund companies using predictive analytics need to ensure the technology places their clients' interests first.

The previously unreported case reflects shifting dynamics in the channel as the largest tax-focused wealth management firm hits one of its closest rivals with litigation.

Charlie Javice claimed in a court filing that she was being scapegoated for the bank's faulty due diligence and that it was JPMorgan that asked her to come up with "synthetic data" on Frank users.

FINRA arbitrators approved the expungement of client complaints that had already led to significant payments as the SEC considers a new rule reforming the process.