Regulatory actions and programs

A Florida court will hear a client’s claim that the firm charges processing fees that had ranged as high as 10 times more than the stated purpose: transaction and clearing costs.

It’s the latest sign the SEC is taking seriously complaints that fees for market data are too high.

Observers expect only modest changes from comment letters, and look ahead to a vote to enact new advisor and broker regulations.

High-yield notes offering 10% to 18% in annual returns turned out far less lucrative than promised.

The advisor allegedly sold $13 million worth of high-risk securities without disclosing that she earned commissions of up to 18%.

How to report a transaction that should have been disclosed to regulators long ago, but wasn’t.

The broker, Michael Siva, was one of seven people charged with securities fraud last year.

With Elad Roisman’s appointment, Republicans could have a big advantage at the SEC by year end.

Instead, Chairman Jay Clayton should be looking for a quicker way for companies to move from private to public markets, and back.

The Biltmore Capital fund was dissolved at an almost total loss, but not before Caleb Overton raised $2.2 million from 10 investors.

The firm "deprived its clients of unbiased financial advice," the regulator says.

The bank disclosed earlier this month that it faces a U.S. inquiry into its purchase of low-income housing credits.

An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.

The commission’s draft fails miserably as a consumer protection measure for the public and actually makes matters worse.

The case offers a new look at decisions made inside one of the nation’s largest home lenders before the financial crisis, and the evidence that executives saw of mounting trouble.

The firm filed a motion arguing one of its ex-brokers did not challenge the proceedings until after the panel ruled against her.

George L. Taylor and Temenos Advisory violated their fiduciary duty by pocketing commissions and concealing conflicts while the firm was in financial distress, the commission charges.

At least 17 individuals invested $13 million in the scheme, and many lost 'substantial portions' of their life savings, prosecutors say.

It is the latest example of how companies are facing pressure to discipline individuals who have abused their position to obtain sexual favors or committed acts of violence and bullying.

The funds allegedly paid for summer camp fees and a 1976 Corvette.