Regulatory actions and programs

“Wells Fargo does not appear close to putting its Washington troubles behind it,” Cowen analyst Jaret Seiberg wrote in a note.

“I want to give a huge thank you to my clients” for feeding local families, Keith Springer blogged the same day the SEC filed its complaint.

A close look at the seven letters Jay Clayton highlighted, and about two dozen others submitted to the SEC by supposedly regular people, shows they are the product of a misleading — and laughably clumsy — public relations campaign by corporate interests.

Sixty-six SEC whistleblowers were awarded $387 million for a “job well done,” according to the commission's whistleblower attorney Stephen Kohn.

The hiring marks Charlie Scharf’s first major leadership appointment since he took over the embattled bank last month.

Bruce K. Lee left the brokerage world where cheating on continuing education requirements can be a "career killer."

As the college savings vehicle grows in popularity, regulator up scrutiny of brokerages’ recommendations to clients.

The court is taking up a challenge to one of the agency’s most potent legal weapons.

The authors of a PIABA Foundation study describe a system in which it’s ‘almost impossible’ to put the public’s interests first.

Her hospitalized client's accounts had more than $14 million in transactions over a nine day period, according to FINRA.