Regulatory actions and programs

These investment advisories paid the price for passing along performance data faked by a third-party manager.

The department is defending the rule in three cases brought by Wall Street trade groups, which are aiming to dismantle the new regulation.

The agency also proposed a rule to permit cities to create their own savings plans.

The case, filed on behalf of an on-call branch office manager who works with advisers, follows similar retirement plan-related litigation recently filed against other firms, including Morgan Stanley.

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.

The adviser, who was ranked in On Wall Street's Top 40 Under 40, is accused of conducting more than $1 million in private security transactions without notifying his employer, Hilliard Lyons.

The broker was barred for allegedly stealing at least $14,400 from three bank customers.

The RIA owner got insider tips from an attorney drunk on several glasses of wine, according to the SEC.

Nicholas Mitsakos allegedly used the funds to pay his credit card bills and make payments on his Mercedes, authorities charge.

The regulator sanctioned the brokerage firm for supervisory failures that stretched over a nearly two year period.

Former Philadelphia Eagles player Merrill Robertson Jr. funded "luxurious" lifestyle with life savings of football coaches, complaint says.

Arbitrators for the regulator also awarded an expungement to Dale Cebert, who claimed a campaign to damage his reputation followed his termination from the wirehouse.

One of the alleged fraudsters used client funds to pay off gambling debts, according to authorities.

The Wall Street regulator says the firm repeatedly ignored red flags for years.

George Merhoff poured his clients' portfolios into a handful of energy stocks that plummeted in value, ex-clients allege in arbitration cases.

The broker allegedly swiped $1,035 from the bank by using a fee-rebate system to wrongfully move funds into his checking and savings accounts.

The adviser allegedly placed more than 700 trades over three years, giving the client "little to no possibility" for a profit, the regulator says.

The bank misled mutual funds and other custody clients about how it priced their foreign currency trades, the SEC alleges.

The alleged wrongdoers transferred client money to their wives’ accounts, the commission says.

Brokers whose deferred pay has been withheld could soon file claims after the regulator confirmed advisers' right to take disputes to FINRA arbitration.