Regulatory actions and programs

The firm also asked for the suits filed in federal court to be thrown out.

The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.

FINRA alleged he communicated with customers about standby letters of credit and bank guarantees outside the scope of his authority.

The firm was fined $1.57 million and must pay clients another $1.85 million for related infractions, the regulator said.

The bank announced that its retail brokerage arm will move to a level-fee pricing model for customer retirement accounts by April 10.

Tim Sloan acknowledged that there may have been instances in which employee complaints related to the bank's cross-selling practices may have been mishandled.

Coming right after Trump’s victory, the move may be an early indication firms believe the regulation will survive.

Here are key takeaways from a Department of Labor fact sheet.

Here's how the outcome of the presidential election could affect the trajectory of the Labor Department's regulation.

FINRA claimed the firm failed to adequately supervise the execution and approval of powers of attorneys submitted by non-U.S. customers of J.P. Morgan Private Bank.

A federal judge categorically rejects claims by an insurance group that the agency overreached. The ruling "sets the tone" for other suits nationwide, an investor advocate says.

While a federal court allowed the organization to file a brief saying it upheld fiduciary values, it should not be providing expert opinions, writes the founder of a fiduciary consulting firm.

Friends and business associates lost $2 million in a Ponzi-like scheme.

The advisers made the move in the wake of new regulatory guidance which takes aim at recruiting deals.

Regulator comes down hard on compliance failures; additional $6.3 million must be paid back to investors.

Following Commonwealth Financial Network's decision to cut its commission-based retirement business, some competitors head in the opposite direction.

The recording casts doubt on the CFP Board's claim that all CFPs are fiduciaries.

FINRA plans to add 1,000 new arbitrators this year to improve its troubled dispute resolution process, but offers few new details on some of its largest challenges.

The regulator is asking firms to provide details of their cross-selling programs, including incentives offered brokers and other employees.

The decision is effective immediately and was made within hours of the Department of Labor issuing new regulatory guidance on the fiduciary rule's implications.