The firm terminated the longtime financial advisor. But experts say that isn't always a best practice, and many female professionals continue to report abuses.

Alpine Securities has added to its long docket of run-ins with regulators over the last several years, alleging the SEC is piling on.

Returning cash to shareholders stops companies from doing stupid things with their money. The new 1% levy could open the door to more buyback taxes, and more foolish spending by companies.

Why industry veterans Christopher J. Asher, Jason D. Cooke and Vincent J. Camarda, charged in separate cases. will go by "defendant" and not "CFP."

The company's CEO offered a rare perspective on what the industry can learn from it.

Officials say the additional information would help agencies gain a better understanding of the industry's potential as a source of systemic risk.

An ex-Woodbury Financial advisor faces 10 felony counts as the industry and regulators keep working on getting better at detecting and preventing scams.

The settlement of a gender-based discrimination case against Citi and concerns about a secret agreement between FINRA and Wells Fargo to manipulate the arbitrator selection process are just two developments that have wealth managers on alert.

Reformers and supporters of the existing system are already lining up on either side of the fight as the regulator follows up on its pledges to pursue changes.

Securities arbitration experts say the Investor Justice Act would represent the SEC's first recurring grants for free counsel that's sorely missing.

The regulator provided a detailed listing of practices subject to tougher client-care standards for disclosure or outright elimination.

Two Securities America brokers and their firm must pay the large award after a case that leaves many unanswered questions.

A Mexican-American couple who sought safety and diversification north of the border say they found fraud, negligent supervision and concealment.

After Bernie Madoff's infamous Ponzi scheme, Congress formed a whistleblower program to prevent future scams. Now critics say the program itself has become "secretive and out of control."

New research from Moody’s Analytics finds that the number of ESG-related controversies is on the rise.

Alongside other firms recently disclosing major regulatory cases, the Swiss bank is cooperating with an investigation by the SEC and CFTC.

The RIA’s customers didn’t receive adequate explanation of its conflicts of interest from no-transaction-fee mutual funds, the regulator says.

Enforcement Director Gurbir Grewal said the answer to the question of whether the rule has changed anything “remains to be seen.”

The guidelines can help planners with charitably minded clients steer clear of compliance thickets and run-ins with the IRS.

A look at the biggest regulations, legislation and court cases in the field from the first half of the year.