The top Massachusetts securities regulator contends a broker's misdeeds could have been prevented if internal compliance officers had only tried.

First Republic Bank was shuttered by regulators early Monday, and all its deposits and most of its assets were acquired by JPMorgan. San Francisco-based First Republic was undone by low-rate mortgages it made to its wealthy customers as well as by the fallout from last month's banking crisis.

His lawsuit is the first to follow the U.S. Supreme Court's decision in another case questioning the regulator's "at-home" advantage with internal proceedings.

Betsy Jo Merritt accused regional directors of undermining her succession plan and causing the loss of millions of dollars in damages.

In a new risk alert, the Wall Street regulator warns about lapses with cybersecurity, email and third-party vendors.

A pair of veteran brokers and six other defendants face hundreds of felony counts in a long-developing state enforcement case out of Toledo, Ohio.

Many advisors have clients who took out the forgivable loans. Some wealth management firms did the same. Three years after the government doled out more than $800 billion in mostly-free cash, here's what's happening.

The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.

In letters to the FTC, financial planners contend that noncompetition and nonsolicitation provisions can leave them 'handcuffed' to bad firms.

The founder of a firm that reportedly worked with 13 of the past 15 Super Bowl halftime performers says the transaction undercut the monetization of his company.

In first appearance before GOP-controlled Financial Services Committee, SEC Chair brushes off criticism over regulation of digital assets.

Regulators accused the investment tech company of costing customers millions of dollars by not reducing their capital gains liability.

A securities expert says the Ponzi-like plot allegedly carried out by a former Deutsche Bank investment banker is a sign that regulators need to provide crypto clarity.

Investor advocates argue that Massachusetts was within its right to hold broker-dealers to a higher standard.

The Wall Street regulator's sweeping proposal would affect everything from brokerage fees to how stock prices are quoted.

The SEC is moving forward with regulations that broker advocates argue could make it nearly impossible to have online complaints purged.

The firm could be roasted on the coals of its own publicly shared goals for increased hiring and support for diverse advisors, as well as its internal data that allegedly tracks related metrics.

The case offered the latest example of a serious prison term for financial exploitation of older adults — a problem experts say is even bigger than the sobering statistics.

The revisions come two weeks after the broker-dealer regulator made changes to a rule to loosen in-house inspection requirements for residential offices.

In setting up a breakaway firm, a group of advisors tried not to step over lines when recruiting colleagues and clients. But a lawsuit argues they still went too far.