Regulatory actions and programs

Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.

Charles Banks pleaded guilty to wire fraud related to loan refinancing for sports merchandising venture Gameday Entertainment.

The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.

Here's what an alternative approach to the Labor Department regulation could look like.

RIAs must start disclosing more about bad actors, auditors and asset breakdowns.

A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.

Customers who were eligible for Class A shares in certain mutual funds without a front-end sales charge were either not given the sales charge waiver or sold more expensive Class B or C shares, FINRA claimed.

A FINRA arbitration panel decided that an amendment to the adviser’s bonus loan is “unenforceable.”

On the same day, the OCC faulted the bank for engaging in an “extensive and pervasive pattern” of discriminatory and illegal lending practices for years.

The regulator suspended the rep for two months and fined him $5,000 for keeping the firm in the dark about his dry-cleaning business.