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.

Postponement serves no purpose, because honest consideration will not change the regulation.

A federal judge ruled that the ex-Barclays advisor had been unfairly forced into FINRA arbitration, where a panel had ruled against him.

Big firms are asking for more time, while investors and even some advisers are asking the Labor Department to keep the rule intact.

The prominent Wall Street lawyer makes a strong argument to skeptical lawmakers that he will be a tough cop on the beat if confirmed.

A higher standard of client care can still be enforced in the marketplace, fiduciary supporters say.

With an eye toward potential repeal, Alexander Acosta told senators that he will abide by President Trump's executive memorandum and review the rule's impact.

The senator isn't waiting for attorney Jay Clayton's confirmation hearing to ramp up her opposition.

The former adviser allegedly pocketed more than $300,000 from trades involving pharmaceutical stocks.

The barred broker used $2.5 million in client funds to buy a waterfront home in Rhode Island, authorities say.

One planner says there's no reasonable basis for a delay, while another says he can't afford all the compliance costs.