A $775,000 settlement for Waddell & Reed relating to its pre-LPL days displays how the regulator is ramping up enforcement of such cases, experts said.

The changes reflect an effort to give penalties more teeth, similar to what the regulator did last year with Robinhood's $70 million fine.

With the broker behind bars since last year, the firm has paid nearly $2 million in client restitution and a regulatory fine over its mishandling of the account.

A House proposal to restrict stock ownership and trading by members of Congress, the president and vice president, Supreme Court justices and other high-ranking government officials is mired in Democratic infighting, threatening supporters' hopes for a pre-election victory.

Federal regulators found violations at all levels of the Wall Street banks and financial services firms.

Bundling these two buzzwords risks setting questionable goals for companies, and distracts from their initial purpose.

Federal investigators are uncovering billions of dollars in fraud tied to pandemic relief programs.

State regulators' enforcement actions for 2021 reveal which scams pose the greatest risks to investors.

Network 1 Financial Securities focuses on micro-cap companies in China and Hong Kong, where financial data is opaque.

NASAA proposes new conduct standards for real estate trusts, updating net income and worth limits.

The Securities and Exchange Commission charged several investment advisors with combined penalties of $1 million for violating the Investment Advisors Act's Custody Rule.

A look inside some of the green energy and energy-efficiency provisions of the new legislation, and what they'll mean going forward.

BlackRock has emerged as a top target for Republican politicians campaigning against investments that take into account environmental, social and governance, or ESG, risks.

The wirehouse fabricated the terms of its recruiting bonus loan and client churning allegations against Anil Bhandari, he said in his first interview on the case.

Though many firms have abandoned commission-based models, they can still be found in certain parts of the country.

The court papers are the latest to shed light on the underbelly of some digital currency platforms.

The Milwaukee-based broker charged over 4,600 clients a minimum $100 fee, plus a handling fee, on small transactions; "not fair and reasonable," FINRA said.

After a watchdog found problems with the regulator's examinations, the agency has repeatedly refused FP's requests for the details of them.

After the Office of the Comptroller of the Currency cracked down on a $2.8 billion-asset bank, industry observers expect more scrutiny of the ties between banks and financial technology startups.

Midsize wealth manager Kovack Securities and its CEO settled two matters last month dating to his time as a member of FINRA's Board of Governors.